foundations of management

FoM

ISSN 2080-7279

2009 Volume 01 Number 02

FOUNDATIONS OF MANAGEMENT International Journal

Faculty of Management Warsaw University of Technology

Foundations of Management

Editor – in - Chief Tadeusz KRUPA Faculty of Management Warsaw University of Technology, Poland e-mail: [email protected]

Frequency: Published four issues per year; two regular and two special issues prepared by invited editor(s) Internet: The International Journal - Foundations of Management is currently available on-line at: http://www.wz.pw.edu.pl/s110/foundations-of-management Publishing and Editorial Office: Faculty of Management, Warsaw University of Technology ul. Narbutta 85, 02-524 Warszawa, Poland email: [email protected] tel.: +48 022 849 94 43, 022 234 84 32 fax.: +48 022 849 97 98 Technical Editors: Teresa Ostrowska, [email protected] Katarzyna Rostek, [email protected] Cover Project and Print: Warsaw University of Technology Publishing House ul. Polna 50, 00-644 Warszawa tel.: +48 022 234-70-83 fax.: +48 022 234-70-60 ISSN 2080-7279 All Rights Reserved Printed In Poland No part of this journal may be reproduced in any form or by any electronic or mechanical means including information storage and retrieval systems, without permission in writing from the Publishing and Editorial Office  Copyright by Faculty of Management, Warsaw University of Technology, Warszawa 2009

Ladies and Gentlemen, Foundation of Management (FoM) journal was established at the Faculty of Management at Warsaw University of Technology in order to provide an international platform of thought and scientific concepts exchange in the field of managerial sciences. This new publishing forum aims at the construction of synergic relations between the two parallel trends in managerial sciences: social and economical – originating from economic universities and academies and the engineering trend – originating in from factories and technical universities. Three of the great representatives of the engineering trend in managerial sciences - American Frederic W. Taylor (1856-1915) – developer of high speed steel technology and the founder of the technical with physiological trend in scientific management, Frenchman Henri Fayol (1841-1925), the author of basics of management and the division and concentration of work as well as the Pole Karol Adamiecki (1866-1933) graduate of the Saint Petersburg Polytechnic University and the professor of Warsaw University of Technology, creator of the timescale system elements scheduling theory and diagrammatic method as well as the basics of the division of work and specialization – have, on the break of the XIX and XX century, all created the universal foundations of the management sciences. Therefore the title of the Foundation of Management is the origin of the scientific and educational message of the journal that is aimed at young scientists and practitioners – graduates of technical and economic universities working in different parts of Europe and World. The target of the establishers of the Foundation of Management journal is that it will gradually increase its influence over the subjects directly linked with the issues of manufacturing and servicing enterprises. Preferred topics concern mainly: organizational issues, informational and technological innovations, production development, financial, economical and quality issues, safety, knowledge and working environment – both in the internal understanding of the enterprise as well as its business environment. Dear Readers, Authors and Friends of the Foundation of Management – our wish is the interdisciplinary perception and interpretation of economic phenomena that accompany the managers and enterprises in their daily work, in order to make them more efficient, safe and economic for suppliers and receivers of the products and services in the global world of technological innovation, domination of knowledge, changes of the value of money and constant market game between demand and supply, future and past. We would like for the Foundation of Management to promote innovative scientific thought in the classical approach towards economic and engineering vision of the managerial sciences. The Guardian of the journal’s mission is its Programme Committee, which participants of which will adapt to current trends and as an answer to the changing economic and social challenges in the integrating Europe and World.

Tadeusz Krupa

CONTENTS Ewa GÓRSKA OPTIMIZATION OF WORKPLACE DESIGN FOR PEOPLE WITH ALTERNATIVE ABILITIES ...............7 Tadeusz WITKOWSKI, Paweł ANTCZAK, Arkadiusz ANTCZAK PROJECT REALIZATION SCHEDULING AND ITS MULTI CRITERIA EVALUATION ...........................25 Janusz ZAWIŁA-NIEDŹWIECKI, Maciej BYCZKOWSKI INFORMATION SECURITY ASPECT OF OPERATIONAL RISK MANAGEMENT ...................................45 Jadwiga CHUDZICKA WOMEN SCIENTISTS IN GENDER ORIENTED RESEARCH ......................................................................61 Ewa KULIŃSKA THE MEANING OF PROCESSES ORIENTATION IN CREATION AND REALIZATION OF THE ADDED VALUE..............................................................................................81 Teresa OSTROWSKA MANAGEMENT INFORMATION IN ADMINISTRATION SYSTEMS.........................................................95 Robert PROKOPCZUK INTEGRATION AND AVAILIBILITY OF DATA – PARADIGMS AND APPLICATIONS .......................111 Jan MONKIEWICZ ENTERPRISE MANAGEMENT AND REGULATION OF ECONOMIC ACTIVITY: THE CASE OF INSURANCE ...........................................................................................................................129 Tadeusz KRUPA EVENTS AND EVENT PROCESSES ..............................................................................................................143 Wojciech NASIEROWSKI A CONCEPTUAL FRAMEWORK FOR FORMALIZATION OF NATIONAL INNOVATION SYSTEMS ....................................................................................................159

Optimization of Workplace Design for People with Alternative Abilities

7

OPTIMIZATION OF WORKPLACE DESIGN FOR PEOPLE WITH ALTERNATIVE ABILITIES Ewa GÓRSKA Faculty of Management Warsaw University of Technology, 02-524 Warszawa, Poland [email protected] Ewa GÓRSKA OPTIMIZATION OF WORKPLACE DESIGN FOR PEOPLE WITH ALTERNATIVE ABILITIES

Abstract: An employer who wants to employ a person with alternative disturbances faces a difficult problem of selecting a workstation and tasks suitable to a given person’s disease since even the same case of disease does not guarantee identical organizational solutions of a workstation. However the more complex the movement disfunction, the more difficult the task is. At the same time it is important that work results of a workstation allow achieving complex productivity. The article presents an attempt at elaborating a method aided by a computer system which allows introducing changes or modifications of workstation space, place equipment and facilities or installing additional elements enabling effective and productive work performance by a person with precisely defined abilities. Presented results of piloting researches have proven that the elaborated method of aiding decisions while adapting workstations to needs and abilities of people with movement disfunction will bring social and economic benefits. Key words: abilities of disabled people, workstation design, computer support, workstation requirements.

1

Introduction

According to the regulations currently in force, each enterprise must be prepared to employ people with alternative abilities with different types of disabilities. Fulfilling this criterion requires the introduction of socalled “integration solutions” in all areas of the company’s working environment (technical, economic and social areas). They consist of: • adapting buildings and rooms to the needs of people with alternative abilities by abolishing architectural barriers, which make it very difficult for people with alternative abilities to move around, • elaborating procedures, which, in a systematic way will enable to adapt each workstation to the candidate with a particular impairment, • creating participation and equal chances mechanisms leading to work satisfaction which will eventually lead to self realization and personal development, • linking work motivation with the motivation to earn money so that in result work could lead to fulfillment of needs and encouragement of more effective work. Working conditions created in this way should guarantee substantial benefits for the company as they provide opportunities for people with alternative abilities, facilitate achieving high working efficiency and help gain

working satisfaction. Inasmuch as there are a lot of companies in Poland, which can pride themselves for having good architectural solutions, adaptation of workstations to disabled people’s needs still creates a lot of problems. As a result of researches a special method which aids decision taking process when designing workstations for people with alternative abilities and in particular with alternative disfunction, has been elaborated (this research was supported by a grant from the National Science Committee No 7 053 16 supervised by Ewa Górska). Proper researches were preceded by piloting researches to examine the scale of the problem, its complexity and to estimate potential costs of elaborating and implementing the method. For the piloting researches a test sample was chosen consisting of 100 workstations which function in small and medium companies of work protection, and 100 cases of movement diseases in patients who are registered in companies’ medical and rehabilitation clinics. 2

Problem statement

Legal regulations, both in the country and worldwide, oblige employers to create new workplaces for people with alternative abilities. However, they do not specify how to proceed with this serious problem in order to make people with alternative abilities use the opportu-

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nity and take the employers’ job offer. Hence in many scientific centers there are new initiatives and actions being taken at the moment in hope to increase chances for employment of the disabled. This is done by learning about needs and potentialities of people with alternative abilities [1, 2, 9, 10 - 13], developing methods which allow work and workstation analysis [4, 16, 17] and introducing methods which concern adaptation of workstation to the limited abilities of people with alternative abilities [15].

Physical adaptation of workstations can be resolved into introducing changes or modifications which consist in establishing adequate measure proportions of workstations, adequate arrangement of equipment, installing additional elements or removing those which hinder performance of some given professional activities. If need be, an employer should provide a disabled employee with rehabilitation equipment which is adapted to the type of disability and which enables successful performance of professional activities.

Despite so many attempts there is no efficient tool allowing effective and precise adaptation of workstation to needs and abilities of disabled people. It is the result of both great variety of disfunctions and workstations. Recruiting an employee for a definite position can take place in the course of adapting a workstation to an employee or selecting a suitable workstation to abilities of a disabled person. Depending on the characteristic tasks for a workstation and spatial parameters, these factors can be defined as conditions of first and second rank.

It has been assumed that in order to choose a good workplace for a person with alternative abilities it is necessary to: • perform complex analysis and evaluation of a person with alternative abilities paying special attention to his natural skills and abilities, and not disabilities, • perform analysis of work and workstations requirements, • compare the results of both analyses and define relations between skills and abilities of a person with alternative abilities on the one hand and workstation requirements on the other and on the basis of both generate an adequate workplace for a given person, • design a workstation in such a way so that it gives a disabled employee independence and autonomy, what is more a workstation should be universal enough for a healthy person (workstation should not be recognized as designed especially for a disabled person), • elaborate a computer program aiding decisions in conditions when there are two sets of elements’ features cooperating in definite situations. These cooperating modeled teams are: an employee endowed with perception-alternative dysfunctions and a spatial structure of workstation which is adaptable to his abilities and needs.

Conditions of lower rank are those which can be corrected without change of a functional destination of a given workstation, and they include e.g. limitations of movement space, improper geometrical parameters of working place, communication routes, etc. These are re-definable parameters that can be corrected within an existing workstation. They are applicable when an employee with disfunctions is highly required at a given workstation due to his particular skills, either manual or intellectual and disturbances of lower rank do not allow in normal conditions to employ a disabled person for the realization of these tasks. However, parameters of higher rank are those that cannot be corrected without change of functional destination of a given workstation e.g. technology. In case of non-adaptable workstations it is assumed that a workstation among tasks for which it is created cannot be modified at all. In these cases a given workstation should be matched to persons who despite their disfunctions will not have difficulties in performing their assigned tasks. Amongst many areas, which require close analysis, this research focuses on the issue of the spatial design of workstation. First of all, it is a question of designing workstations in accordance with the needs of people with alternative abilities, and in particular with limb impairment.

3

Industrial context

Elaborating method of designing spatial structure of workstations for persons with alternative dysfunctions required creating a database about workstations and possible cases of limb diseases. For the sake of the method two questionnaires have been prepared: the first one has been devoted to registration of requirements posed by work and geometry parameters of a workstation according to identified modules, the second one is devoted to a detailed description of dis-


abilities resulting from the type of disease, including among others data about the type of disfunction, the range of perception-alternative limitations, preferences concerning potential work. From the point of view of the aim of conducted researches the companies of work protection and medical-rehabilitation clinics were recognized as the most representative companies and therefore the questionnaires were sent to them. The questionnaire which describes a disabled person was sent to 25 clinics in 16 voivodships. After 3 months 100 questionnaires were sent back from 13 clinics describing from 5 to 10 types of limb diseases. The researches included a group of patients whose limb dysfunctions did not disqualify a person to start a normal job. 96 out of 100 questionnaires were sent back and filled in correctly. Questionnaires on workstation requirements were addressed to 25 companies of work protection in 13 cities. Besides big metropolis (Warsaw, Łódź, Poznań) the research covered smaller cities (Radom, Siedlce, Kozienice, Kobyłka near Warsaw, Orońsk near Radom). All the questionnaires describing 100 workstations were filled in correctly. 4

Results of piloting researches

Due to complexity and variety of the discussed problem, elaboration of the method of designing workstations for the disabled people was preceded by piloting researches. The scope of piloting researches was to identify conditions which were important for good adaptation of workstation to a disabled person, systematize job market offers for people with limb dysfunction and identify prevailing limb dysfunctions. There are two methods which were used in piloting researches: • clinical exploration including a detailed analysis of a particular group of disabled people and workstations; the advantage of such researches is depth of analyses and possibility of formulating hypotheses on the basis of obtained results which can be verified in researches on large samples; their disadvantage is low representation of the researches’ results which is caused by minimal research sample [6], • large sample studies consist in analyzing big groups of workstations and disabled people; used information comes from survey reports, statistical database, questionnaire researches; the advantage is a high credibility of results allowing generalizations which

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concern bigger population; the disadvantage is narrowing the number of analyzed problems [6]. Information used to analysis and evaluation of present state of affairs is the result of current regulations, scientific publications, statistical data, summaries of work conditions inspections, experience of companies and private questionnaire researches in the companies of work protection and rehabilitation clinics located in the company. Results of piloting researches allowed to settle: • significance of the problem, • permanence of the problem in time from the legal perspective, • scale and structure of the problem, • complexity of the problem. In order to settle the above conditions and collect data necessary for the elaboration of the prototype of the method and verification of the method on the representative statistical sample, piloting researches have been carefully designed and carried out. 4.1

Significance of the problem

The degree of adaptation of the company to the needs of disabled people is decided by National Work Inspection (in Polish: PIP). Unfortunately, in reference to the selection of workstations for given dysfunctions, there are no recommendations or contraindications. The inspection, carried out by PIP in the first six months of 2007 inspected 2437 companies of work protection (13% of total amount), which employed about 373.800 disabled people and discovered the following [14]: • not all objects met the requirements of work safety regulations (43%), • workstations were organized without observing the requirements of acts on surface and height of rooms (35%), • machines and equipment which were operated by disabled people did not always have tools adapted to different types of employees’ diseases (41%), • there were architectural barriers which hindered movement in working places, on the roads and communication routes (20%). Companies of different profile of activity and, in particular, production, commercial, development and transportation companies were controlled. The conclusion was evident: despite many shortcomings high

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unemployment among people with alternative abilities make them accept bad working conditions. A fear of losing opportunity for an active life and sense of stability, which work provides, forces disabled people to look for job by at any cost. 4.2

Permanence of the problem in time from the legal perspective

The increasing problem of disability brings about the situation when countries and different international organizations start special actions and activities for disabled people, also meant to prevent disabilities. In result the question of providing communication opportunities and access of workstations to disabled people with limb alternative dysfunction is a great social and economic problem. 4.2.1 Social aspect An urgent need to provide people with alternative abilities with accessible workstations has found its solution in the following legal acts: • on 1st August 1997 The Charter of Rights of People with Alternative Abilities was adopted (M.P No. 50, position 474), in which The Parliament of Poland recognized that people with alternative abilities have right to independent, autonomous and active life and they may not be the object of discrimination, • Labour Code article. 237 § 1 and Resolution of Ministry of Labour and Social Policy from 26 September 1997 on general regulations of work safety (Dz.U. No. 129, position 844 with later amendments), saying that: An employer who employs disabled people should guarantee adaptation of workstations and easy access to workstation to needs and limited abilities of disabled employers (§ 48), • Regulation of Ministry from 29 January 2007 on help for employers who employ people with alternative abilities (Dz.U. from 2007 No. 20, position 118), • law from 7th July 1994 – Building law (Dz.U. No. 89, position 414, with later amendments), • regulation issued by the Ministry of Infrastructure from 12th April 2002 concerning technical conditions which should be fulfilled in public buildings

and their location (Dz.U. from 2002 No. 75, position 690), • law from 27th August 1997 concerning professional and social rehabilitation and employment of people with alternative abilities (Dz.U. No. 123, position 776, with later amendments). 4.2.2 Economic aspect In practice an employer who wants to employ a person with alternative abilities, faces a difficult task of finding an adequate job and tasks for the given person with movement problems. The more difficult is the task, the more complex is the movement impairment. What is more an employer does not have at his disposal solution patterns which could aid him to make right decisions in this matter: how to maintain productivity of the job position while employing people with alternative abilities. Estimated figures concerning decreased efficiency of the work of people with alternative abilities according to the type of disability have been presented in table 1. Decrease in productivity results not only from the particular types of diseases, but also from lowered productivity measured with the ratio of real working time to nominal working time. Higher cost of employment (lower productivity) is caused mainly by the legal provisions guaranteed to a disabled employee which include: • working time shortened by 2 hours (5%) per week for people with slighter type of disability, • working time shortened by 2 hours (17%) per week for people with heavy and moderate type of disability, • additional break in work for 30 minutes daily in order to do some physical exercise or rest (6%) for all disabled employees, • additional holidays (10 days) for people with heavy and moderate type of disability, • being exempt from providing employment but preserving the right to payment for the period of 21 days annually in order to participate in rehabilitation holidays for people with heavy and moderate type of disability, • providing higher standard of working conditions (adapting sanitary rooms, abolishing architectural barriers, improper lightening).


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Table 1. Decrease in efficiency according to the type of disability (source: [1])

No

Type of disability

Participation in the population of employees (%)

Decrease in productivity (%)

Measured decrease in productivity (%)

1

Diseases of hearing and speech organs

6

10

0,6

2

Mental and nervous diseases

8

50

4,0

3

Mental handicap

8

80

6,4

4

Diseases of sight organ

9

30

2,7

5

Diseases of internal organs

23

20

4,6

6

Diseases of limbs and spine

25

30

7,5

7

Remaining and related diseases

22

40

8,8

Total number for the whole population of employees (as estimated)

4.3

Scale and structure of the problem

Data provided by GUS – Main Statistical Office showed that in 2002 there were more than 5457 thousands disabled people that is 10% of all the population of Poles, 84,5% of which do not have any chance for employment. The number of serious disabilities has also increased dramatically, for example annually there are about 1600 new cases of people who have to use a wheelchair on the permanent basis. Impairments and limb diseases are the major or secondary cause of all identified causes of disability. According to Main Statistical Office in the first quarter of 2002 [14] it was discovered that disabled people with alternative abilities are 42% of all disabled population that is about 2,2 million people, who have only one type of disability. If we take into consideration the occurrence of different types of disabilities then the number of people with limb dysfunctions will increase to 1 million. Alternative dysfunction can concern: • alternative and manipulation limitations,

34,6

• using special and rehabilitation equipment, • upper and lower artificial limbs, • alternative limitations in the particular parts of the body, • difficulties in moving on an even surface, staircase and ladder, • limitation limiting kneeling and running, • difficulties in moving on soft and uneven ground, • difficulties in leaning, • rheumatic deformations. The structure and scope of the problems connected with alternative disabilities has been identified on the basis of the results of my own questionnaire carried out in 13 rehabilitation clinics in companies. The results of the researches are illustrated in figures 1, 2, 3 and 4 and in table 2. Out of 96 disabled people included in the questionnaire, the researchers identified 20 cases of spinal impairments. The type and frequency of impairments is illustrated in table 3.

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Figure 1. Special and rehabilitation equipment for people included in the research program

Figure 2. Percentage of people who have artificial upper and lower limbs

Figure 3. Limitation of movement ability in particular positions


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Figure 4. Occurrence of rheumatic deformations

Table 2. Percentage of physical ability among people included in the questionnaire researches

Disease type

Complete ability 20 8

Limitations in moving on even surface Limitations in moving up/down the stairs Percentage of people who cannot climb up the ladder Limitations which unable kneeling Limitations which unable running Percentage of people who cannot run Limitations in moving on the soft ground Limitations in moving on uneven difficult ground Difficulties in leaning

Percentage share % Small Big Practically difficulties difficulties impossible 58 20 0 42 48 2

Impossible 2 2

0

23

33

19

25

7 2 2 4

24 12 8 27

43 40 31 55

13 15 23 7

13 31 36 7

4

29

44

13

10

12

51

33

2

2

Table 3. Types of spinal impairment Description Limitation in mobility between vertebra on the neck, chest and loins-sacral loins section

Frequency of occurrence 1

Th7-Th8 Th8 rupture of pultaceous core

1

Post-accident accident damage of the loins section of the spine

1

S’ chest and loin curvature of the spine

1

Impairment of the loins section of the spine – stiff and aching section

1

Degenerative changes in the neck, chest and loins-sacral loins section of the spine

1

Degenerative changes in the chest and loins-sacral loins spine

1

Degenerative changes in the neck and chest spine

2

Degenerative changes in the neck, chest and loin-sacral loin spine

2

Degenerative changes in the neck and chest section of the spine

1

Degenerative changes in the neck, chest and loins-sacral loins part of the spine

1

Degenerative changes in all the spinal sections

1

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Ewa Górska

Complexity of the problem

In order to establish correlation between the requirements of workstations and abilities of people with alternative abilities, it is necessary to take into consideration two groups of criteria: • type of dysfunction, • placement of dysfunction. From the point of view of the type, dysfunctions can be divided into: • loss of parts of the body and limbs, e.g. innate losses, amputations, • dysfunctions of joints’ kinesis, e.g. limitation of movements, switching off some degrees of autonomy, stiffness of joints (anykylosis, artrodesis), • dysfunctions to dynamism of limbs, e.g. paresis and paralysis (flabby, spastic), • complex dysfunctions (different combinations). Depending on dysfunction placement in relation to reference system defined by fibular and transversal surface we can differentiate: • symmetric movement dysfunctions in relation to fibular surface, e.g.: paresis or paralysis of both upper and lower limbs, • asymmetric movement dysfunctions in relation to fibular surface, e.g.: paralysis on one side, • symmetric movement dysfunctions in relation to transversal surface, e.g.: losses or paresis/limbs paralysis on the same height, • asymmetric movement dysfunctions in relation to transversal surface, e.g.: similar dysfunctions on different heights. What is more there are different possibilities in regard to movement and manipulation activities. Manipulation activities consist of elementary movements of upper limbs. Therefore it is necessary to learn the degree of ability for each of these movements which include: movements of fingers, movement of hand (palm and fingers), repetitive movements, turning and indirect movements of forearm, arm movements and arm movements together with shoulder collar. Evaluation includes also such manipulation activities as the ability of taking a grip, reaching, carrying, lifting, putting down, pushing, attracting, spinning, dismantling and squeezing. The indicators of physical ability are also important: adequacy, precision, speed, skillfulness, strength and coordination of movements.

Movement activities are connected with moving the body with the use of the lower limbs. Therefore it is important to learn the degree of ability in such activities as walking on an even surface, walking up and down the stairs, walking up the ladder, kneeling, running, jumping, walking on the soft and uneven ground and leaning. Table 4. Changes occurring in upper limbs Type of dysfunction

Fingers missing

Impairments visible in stiffened joints or movement limitation, within

Impairments of the wrist

Impairments of the elbow joint

Impairments of the shoulder joint

Too short limb, if the shortening concerns Too long limb, if the lengthening concerns

Area -

-

-

-

thumb pointing middle annular small none thumb pointing middle annular small below the joint above the joint immobility of the joint visible in the stiffness or movement limitation below the joint above the joint immobility of the joint visible in the stiffness or movement limitation below the joint above the joint immobility of the joint visible in the stiffness or movement limitation proportionally, the whole limb section of the limb proportionally the whole limb section of the limb

Alternative dysfunction can be a result of: • dysfunction of upper limbs (not resulting from spinal damage), • dysfunction of lower limbs (not resulting from spinal damage), • deformation as a result of rheumatic diseases, • dysfunction of limb caused by spinal damage.


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Dysfunction of upper limbs refers to the left or right hand. In both cases there can appear changes presented in table 4.

III stage concerns examining the relation between the disabled person’s alternative possibilities and space in which he/she is to function.

The performed analysis shows a great variety of dysfunctions of human alternative system. Even identical diagnosis in few persons gives different possibilities of action. Specially when we consider partial disability and paralysis. Within the same formal diagnosis e.g. „limb disability” there can be great differences in ability of a given limb in different people. Therefore every design of workstation for a disabled person should be based on a detailed individual analysis and functional diagnosis.

The diagram of the workstation designing method has been presented in figure 5.

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Results

Data collected in the questionnaires served to elaborate a method of designing workstations with limb dysfunctions and its computer implementation. Among many areas which require analysis, the issue of spatial planning of a workstation in accordance with the needs and abilities of disabled people with limb impairment, was taken into focus. The scope of using the method was limited to alternative dysfunctions as the biggest and at the same time the most complex area of functional disturbances in the human alternative system. 5.1

Workstation design procedure

It was assumed that designing workstations will take place at the following stages: I stage concerns modeling the body shape of the workstation’s user and requires building: • model of database including information on anthropometrical parameters of model forms, • model of database of diseases and deformations according to medical documentation, • model of knowledge base enabling translation of „medical base” into the parameters required by the base of models parameters, • interface: parameters base – Anthropos. II stage concerns building a model of a workstation in accordance with the identified modules.

In order to elaborate the method two questionnaires were drawn up: • questionnaire of a disabled person’s body shape with an alternative dysfunction, • questionnaire of requirements posed by a workstation. A tool which aids the researches in the project is Anthropos, a computer program working in AutoCAD environment. What is more a proper consulting system has been elaborated which aids decision making process concerning selection of workstation for an individual user. One of the elements of the method is a visualization of the process of adapting an employee to a workstation with the help of Anthropos packet. This packet is a tool which will help visualization provided that the basic objects – human and workstation – have been well defined in three dimensional way. A human has been well described with the help of a questionnaire including data on the employee’s dysfunctions. It is true that the geometry of all the elements was not precisely described in the questionnaire, but it was possible to use the base of anthropometrical features of a population, included in Anthropos packet. The elaborated method of workstation designing enables to: • select workstation suitable for a given type of dysfunction according to the needs of people looking for a job, • find among disabled people those who can work at the workstation endowed with definite parameters, • define adaptation activities for a workstation so that it is possible to employ a disabled employee. In all these cases we define the priority: human can work only at such a workstation where basic use and ergonomic parameters meet the requirements of a potential employee. This is a basic criterion of selecting workstations for people and people for workstations.

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Ewa Górska

Figure 5. Diagram representing the method of a module designing of workstations for disabled persons (source: [4])

The system in the first case will search a database with data on workstations for such workstations whose use parameters are beyond the minimal requirements of a disabled person. In the second case working of the system is similar and actually operated in the same way but due to the efficiency of database, the system will search a base of individuals looking for persons whose requirements are lower than those at the analyzed workstation. In both cases it is human with his dysfunction that plays the main role. 5.2

Computer implementation of workstation designing method for disabled people

The main aim of creating computer system of workstation designing method for disabled people is the possibility of stimulating the interaction of the elements of the system: human – workstation. Examining the above relations requires building the model of a generalized body shape of a disabled per-

son who has some definite dysfunctions and a workstation model in which the disabled person is to function. Thus it was decided that the designed system should enable to: • collect information on disabilities among certain population, • collect information on working environment where people with alternative abilities could be possibly employed, • search both databases in order to find functional correspondences in the other database; the search can be carried out using equivocal criteria; functioning of such tool enables finding for example not concrete and ready workstations for people with alternative abilities but a group of workstations together with a list of their possible modifications; the role of decision-maker consists in establishing which of the changes proposed by the system are to be actually realized, • indicate proper matches at a workstation in order to employ adequate people with alternative abilities at a given workstation,


• suggest possible modification of a workstation in a given range so that modifications could meet the requirements of an employed person. For the sake of the method a model of database including information on anthropometical parameters of modeled forms, given diseases and deformations according to medical documentation was elaborated. What is more a model of knowledge base which enables translation of „medical base” into the parameters required by the base of models parameters was also elaborated. The interface consisted in Anthropos, the base of parameters. Particular efficiency of the presented attitude consists in creating a set of recommendations about reconfigurations of workstation’s geometry in order to adapt to a given case of a disabled person with dysfunctions.

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The designed system should serve to: • select a workstation with a suitable parameters and advantages for a given type of dysfunctions characteristic for people looking for a job, • find among disabled people those who can work at a workstation endowed with specific parameters. In both cases we set the priorities: a human can only work at such a workstation where basic use and ergonomic parameters meet the requirements (mainly health requirements) of a potential employee. It is a basic criterion of selecting workstations for people and people for workstations. The system in the first case will search workstations database for such workstations whose use parameters are beyond the minimal requirements of a disabled person.

Figure 6. Functional model of computer system workstation designing for disabled persons (source: [4])

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Ewa Górska

In the second case working of the system is similar and run almost in the same way but due to the efficiency of database, the system will search a base of individuals whose requirements are lower than present at the analyzed workstation. In both cases a human with his dysfunctions plays the main role. The essence of the computer system is presented in figure 6. The example of selected windows from a computer program aiding the method of designing workstations for disabled people id represented in figure 7 and 8.

The window presented in figure 7 is the first interface dialogue window of the user of the external database application. We have here a possibility of drawing up a description of particular alternative limitations and choosing the areas of occurrence of limb dysfunctions. Next dialogue window (figure 8) allows introducing additional data not included in direct dysfunctions. Introducing detailed data about disabled people’s dysfunctions enables the next third dialogue window etc.

Figure 7. Window of a base to fill in the description of the individual dysfunctions (source: [4])


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Figure 8. Window to introduce additional data – besides direct dysfunctions (source: [4])

6

Application

Implementation of the workstation designing method for disabled people was started at S.I. ELERMET Company at the Electromechanical department in Biała Podlaska. ELERMET, the Co-operative of Disabled People runs its own production activity at the following departments: • wear (protection and working wear, wear for health service, uniforms and special wear), • electro-technical (contractional tubes and conductors, installation collets, ampere currant gauges, stabilizers for sodium, mercury and halogen lamps), • artificial materials (products of artificial materials and furniture, containers from artificial materials

made for LUBLIN cars, produced with the use of a special modern technology – the method of gust, retarding reservoirs for the car radiator systems). The Co-operative has its own commercial network (a warehouse, 8 shops), it runs its own investment and renovation business. It also has rehabilitation clinic. ELREMET Co-operative of Disabled People employs 597 people 306 of whom are disabled people which is 51,3% of the staff. There are 36 disabled people employed at the electromechanical department. The conclusions of the interview, provided by 20 people with different disability group, reveal that 35% of the researched employees notice barriers at their workstations. These disturbances are brought about by a wrong selection of gauges, improper seat, too small working space. Most of the employees complained about the heavy load on hand muscles and mental

20

Ewa Górska

overload with the performed work. The overload on the upper limbs, which unfortunately appears very often, has a very bad effect on mental well being and of course on work efficiency. Good economic condition of the Co-operative helps create new jobs with a special consideration of workstation for disabled people. General working conditions are already adapted to the needs of disabled people. The company has such facilities as lifts, special banisters, vehicles which enable wheelchairs to move around. However workstations need modernizing. 6.1

Registration of data for designing purposes

A register of diseases and workstations was started in the company in the form of catalogues. A list of diseases which occur in 36 employees working at the electro-technical department was drawn up. The register lists disabilities, disability group, classification to one of 7 areas of disability and comments on special recommendations or indications. The evaluation of disability was settled on the basis of health card and medical commission’s opinion. The fragment of the register is presented in table 5. A catalogue of typical workstations was elaborated for the Electro-technical Department. The catalogue lists workstations at which disabled people may be employed. Since people with different dysfunctions

can work at these workstations, the catalogue indicates for each workstation the chances of employment for people with specific diseases classified into disability areas. The register of typical workstations including possible diseases, which can occur in the disabled employees, is presented in table 6. 6.2

Designing a workstation to prepare the base of a stabilizer

The procedure of ergonomic designing was conducted in accordance with the elaborated method. On the basis of the collected data about a disabled person and workstation for preparing the base of a stabilizer a simulation of design solutions was performed. According to the obtained results an action was launched aimed at improving working conditions at the workstation. The effects of improvement were presented in the human – technical object – environment system, including specific features of an employed worker. These features include: A. features of a disabled person, B. workstation equipment, C. spatial structure, D. work methods, E. work organization, F. material work environment.

Table 5. Catalogue of diseases of the persons employed at the electro-technical department (fragment) Sex No.

Type of disease

Female

Male

1

Spastic paralysis of the left leg

X

2

Spastic paralysis of the upper right limb

X

3

A deaf-mute person, paresis of hipjoint, shortening of lower limbs

X

4

5

Loins and sacral curvature of the spine Spastic paresis of lower limbs, paresis of the upper right limb, mental deficiency of the small degree, astigmatism

Comments Disability C - contraindication Disability area group R - special recommendation C - hard physical work III Limb defect requiring a lot of walking Movement disa- C - work requiring both II bility hands C - hard work requiring Defect of speech, II speaking and walking, hearing, limbs R - work in a sitting posture

X

II

Spine defect

R - work in a sitting posture

X

I

Complex disabil- R - easy and simple work to ity perform


21

Table 6. Catalogue of typical workstations at the Electro-technical Department

4 5 6

X

2

X

3

X

3 X

2

X

Sex: Male. Age: 36 years. Employment practice: 15 years. Disability group: I. Description of disability: spastic paresis of limbs, paresis of upper right limb, mental deficiency of the small degree, astigmatism. Recommendations: No work or work only in the company of work protection in special conditions. Work, which is simple and easy to perform. Anthropometrical data: while defining data the features differences resulting from disability were included: - body height in a sitting posture 1700 mm - sight surface height in a sitting posture 1227 mm - shoulder height in a sitting posture 1051 mm - elbow height in a sitting posture from the floor 747 mm - under-knee height 447 mm

X

X

X X X

10

A. Features of a disabled person

Complex diseases

X

Interior diseases

X

Mental deficiency

9

Nervous and mental impairments

Impairments of limbs and spine

3

Workstation for control measurements Workstation for preparing the base of the stabilizer Workstation for installing moulders Workstation for designing the stabilizer Workstation for installing the amperometer

Defect of hearing and speech

2

Insulation winder

Defect of sight

1

Number of workstations

No.

Workstation

Possibility of employing disabled people according to disability areas

X

X X

X

X

X

X

X

-

maximal thigh girth thigh sedentary length length of a seat height of a seat reach of the left limb

139 mm 457 mm 400 mm 445 mm 752 mm

A task for realization: preparing moulders for the installation of the stabilizer. Character of the activities performed: manual work, manipulation – sight work. Employee’s tasks: taking C and T moulders, putting them properly, putting them into strickle and examining a given type of a stabilizer. B. Workstation equipment Tools: a hammer, strickle board. Table: adapted to the people with lower limbs paresis, it has a listed board which prevents small elements and tools from falling, on the left side of the table there is a tool box as the right hand is disable. Seat: a chair for people with a limited ability of sitting down and getting up, endowed with side arms and mobile leaning seat with an option of autonomous sitting down and getting up which while sitting down turns to the vertical position and while getting up

22

Ewa Górska

a special mechanism nism pushes the seat out together with a person (figure 10). C. Workstation spatial structure The measurements of a workstation and equipment were selected in accordance with the anthropometrical data. While defining the measurements the differences of somatic atic features resulting from disability were taken into consideration. The manipulation height and comfort areas for legs in a sitting posture are prepr sented in figure 9. The measurements of workstation figure 10. A surface which covered by a workstation: 6 square meters and 2 square meters not taken by an employee. D. Work methods Description of activities: basic activities performed by the left hand. Tasks for the left hand: • taking a moulder, • putting in the right position, • putting in the strickle, • nailing with a hammer, • winding with a tape. Tasks for the right hand: Due to a paresis there are only simple activities perpe formed connected with holding Work place: optional.

E. Work organization A type of work performed: an employee at the workstation performs simple activities connected with packing moulders of type T and C with the help of simple tools: hammer, strickle, moulders. Work efficiency:: efficiency during a labor day is about 20-25 25 units/7 hours, efficiency per hour h is about 3-4 units/1 hour. Physical load: medium. Working time: 7 hours. Number of breaks: 4.. Total time for rest is about 40 minutes. Time of breaks: first break – 15 minutes, second break – 10 minutes, third break – 10 minutes, fourth break – 5 minutes. First break for corrective exercise should take place in a scheduled time. It should influence general health condition, improve fitness of limbs which have paresis and relax the hand which performs almost all ativities. The remaining breaks can be regulated optionally depending on the mental and physical well being. The rule of individualization for work organization: due to the paresis of lower limbs and upper right hand, an employee is provided with material to work and the receipt of ready packets. ckets.

Labor effort: medium.

Figure 9. Defining manipulation height and comfort area for legs in a sitting posture

Optimization of Workplace Design for People P with Alternative Abilities

23

Figure 10. Defining workstation measurements to prepare the base of a stabilizer

F. Material work environment Temperature: 23 C.

8

References

[1]

Barczyński A. - Companies of Work Protection in the Polish System of Professional Rehabilitation of Disabled People. KIG-R, Warszawa 2001.

[2]

Barczyński A. - Cost of employment of people with alternative abilities. abilities KIG-R, Warszawa 2008.

[3]

Economic Activity of Poland’s People I quarter 2007. Main Statistical Office, Warsaw 2007.

[4]

Górska E.(ed.) - Projektowanie stanowisk pracy dla osób niepełnosprawnych. niepełnosprawnych OWPW, wyd. II, Warszawa 2007.

[5]

Górska E. - Analysis of Work Tasks for RecruitRecrui ing Employees with Limb Impairment, Systems [in] Social and Internationalization Design AsA pects of Human – Computer Interaction (Smith M.J., Salvendy G. ed.), ed Lawrence Erlbaum Associates Publishers, Mahwah-London Mahwah 2001, pp. 405-409.

[6]

Heath Condition and Needs of Disabled People in Poland in 2002. Main Statistical Office, Warsaw 2003.

Noise: max. 72 dB. Light: 300 1x. 7

Conclusions

The elaborated method and a computer program adapted to it will be verified in the companies of work protection and after gaining satisfactory results, they will be implemented into the normal practice of a company. It is predicted that shaping working conditions c at the workstation according to the mental and physical needs of disabled people will help overcome social barriers. We hope that the suggested method will create equal chances for disabled people and help them function in the society as fully valuable aluable members. What is more the efficiency of the company will increase dramatidramat cally as a result of disabled people’s work.

24

[7]

Ewa Górska

International Classification of Impairments, Activities and Participation. A Manual of Disablement and Functioning. BETA–1 DRAFT FOR FIELD TRIALS. World Health Organization, Geneva 1997.

[8]

[9]

Kaplan S.N., Mitchell M.L., Wruck K.H. - Clinical Exploration of Value Creation and Destruction in Acquisitions: Organizational Design, Incentives and Internal Capital Markets. Center for Research In Security Prices No. 450, p. 5, Graduate School of Business, University of Chicago 2000. Majewski T. - Type of disability in relation to the need of professional activation of disabled people [in] conference materials: Needs of professional activation of people with alternative abilities. KIG-R conference, Warszawa 30 May 2007.

[10]

Majewski T. - How to employ people with alternative abilities. Guide for the employer. KIG-R, Warszawa 2007.

[11]

Misztal M. - New supporting regulations for employers hiring people with alternative abilities in protected and open employment market. Info Baza, September 2007.

[12]

Nevala-Puranen N., Louhevaara V., Itäkannas E., Alaranta H. - ERGODIS: A Method for Evaluating Ergonomics of Workplaces for Employees

with Physical Disabilities [in] Proceedings of ERGON’AXIA 2000, Warsaw 2000, pp. 237239. [13]

Nevala-Puranen N., Seuri M., Simola A., Elo J. – Physically Disabled at Work: Need for Ergonomic Interventions [in] Journal of Occupational Rehabilitation. Vol. 9, No. 4, 1999, pp. 215-225.

[14]

National Labor Inspectorate report from 2007.

[15]

Tortosa l., Ferreras A., Garcia-Molina C., Diez R., Lazaro A., Cerezo C., Page A. - ErgoworkIBV: Method for Ergonomic Adaptation of Workplace for Disabled People [in] Proceedings of CAES’99 International Conference on Computer-Aided Ergonomics and Safety. Barcelona 1999.

[16]

Välima M., Mikkonen P., Kantolahti T., Palukka P., Mattila M., Rautjärvi L., Kivi P. - The Model for Analysis of Work Ability at SMEs [in] Proceeding of the International Conference on Computer Aided Ergonomics and Safety CAES’99. Barcelona 1999.

[17]

Välima M., Mikkonen P., Kantolahti T., Palukka P., Mattila M., Rautjärvi L., Kivi P. -How to Analyze Work Ability in Order to Promote It? [in] Proceeding of the 1st International Conference on Occupational Risk Prevention ORP’2000. Tenerife, Spain 2000.

Project Realization Scheduling and Its Multi Criteria Evaluation

25

PROJECT REALIZATION SCHEDULING AND ITS MULTI CRITERIA EVALUATION Tadeusz WITKOWSKI*, Paweł ANTCZAK**, Arkadiusz ANTCZAK*** Faculty of Management Warsaw University of Technology, 02-524 Warszawa, Poland e-mail: *[email protected]; **[email protected]; ***[email protected] Tadeusz WITKOWSKI, Paweł ANTCZAK, Arkadiusz ANTCZAK PROJECT REALIZATION SCHEDULING AND ITS MULTI CRITERIA EVALUATION

Abstract: The paper focuses on project scheduling classification issues according to the type of constraints and optimization directions. Special attention was paid to production scheduling, presenting the basic issues in relation with product flow organizational criterion. Open-cluster issue was formulated and analyzed with the use of modern heuristics. Solution was evaluated with multiple criteria, mainly on the basis of time characteristics. Production process flow relations, in coordinates determined by operation sequence at particular workplaces, as well as the production type factor were presented. Key words: project management, production process, scheduling, optimization, algorithms, multi criteria evaluation.

1

Introduction

Project management is a discipline that integrates the totality of issues connected with realization of projects. Even though the project management is a relatively fresh area of science, the concept of project was known for a very long time. It is assumed that the first project realized according to the current concept of project management was the construction of trans-continental rail in the USA in 1870 [2]. During the turn of XIX and XX century, F.Taylor, in researching and optimizing the efficiency of workers, came to a conclusion that every type of work can be broke down into smaller elements – the smallest one being a single movement. At the same time H. Gantt elaborated a graphical representation of activities performed in different time intervals that contribute to a common venture - project. In 1903 K. Adamiecki elaborated the diagrammatic method [1, 26] for the representation of a production process. Every process, including production processes, is performed in time and space. Therefore, the production process research methods should be based on both these features. These requirements are met with the diagrammatic method of K. Adamiecki, which is based on the use of the Cartesian coordinate system. In this system the independent variable is the time and the dependent variable is the workplace. With such description of coordinates it is possible to illustrate and present production processes. During the Second World War mathematical methods (Simplex method) were successfully used for the optimization of complex civil and military projects. These methods were later used in many activities and

projects, becoming the basis for a new area of science – operations research. During the turn of 50s and 60s of the XX century, project management entered the wide civil applications. Basic methods of project management, network methods, were elaborated at this time [36]: • CPM (Critical Path Method) in 1957, • PERT (Program Evaluation and Review Technique) in 1958, • MPM (Metra Potential Method) in 1958, • GAN (Generalized Activity Network) in 1962, • PDM (Precedence Diagramming Method) in 1964, • GERT (Graphical Evaluation and Review Technique) in 1966. Development of project management in the 70s of XX century was stopped due to the computing limitation, which was later overcome in 80s and 90s due to the introduction of cheap and effective computers in the market. New scheduling optimization methods were elaborated at this time mainly because of a quick development of artificial intelligence methods [9, 31]. Project management is becoming more and more popular among enterprises. Production scheduling should assure such production realization which allows ontime customer order realization and increase the efficiency of production resources. Effective scheduling systems synchronize production processes at all lines, control the correlations and optimal sequencing in order to shorten the manufacturing time. Production planning and management systems work in the areas connected with material and information flow of manufacturing systems. They realize the planning

26

Tadeusz Witkowski, Paweł Antczak, Arkadiusz Antczak

process, which is the selection of resources for realization of particular production tasks in given time and assurance of target realization, and the management process that is launching, supervision and assurance of production tasks realization [4]. Usability of scheduling tools for the analysis of particular production models depends on the volume and character of production. More and more often are the methods connected with artificial intelligence used in the scope of production scheduling. Some of these examples are genetic algorithms, simulated annealing algorithms or the tabu search procedures. Schedule creation task is realized with various analytical and heuristic methods [3]. The plan of the article is the following. First chapter presents project characteristics and classification of project scheduling issues. Second chapter describes production project scheduling methods. Third chapter deals with the job shop - open shop production scheduling issues. Fourth chapter presents the multi criteria project scheduling evaluation issues and the fifth chapter evaluates the project scheduling in stochastic environment with the use of stochastic tools. 2

Characterization of project realization and classification of scheduling issues

2.1

Characterization of project realization

Project management has a set collection of definitions used to describe it. According to the British Standards definition presented in [10]: project is a unique collection of related activities (tasks, operations) together with defined starting point and (or) finishing pint, realized by an individual or an organization in order to reach set goals with assigned resources. Therefore every project has three basic types of elements: activities, resources necessary to realize them and set order relations (related activities). Activity is a task, operation or process that requires specific time and (or) resources for its realization. Activities are described with a number of features e.g. set activity time and others. Resources are everything that is necessary to realize activities and usually are the main constraint in projects.

From the project realization scheduling perspective the most common classification is the one based on accessibility criterion, which divides the resources into [20]: • renewable resources – accessibility of this type of resources is renewed in the following time periods (e.g. employees, machines), • non-renewable resources – resource is accessible until it is used for task realization, after that it stops being accessible (e.g. materials, capital), • partially renewable resources – resource accessibility is limited for particular sub-sets of time in the planning horizon (in these sub-sets the resource is treated as renewable). Relations project the logical sequence of project task performance. For a single determination of relation it is necessary to provide the predecessor (the activity that via relations conditions beginning or ending of other activity), follower (activity, which realization possibility is conditioned by relations) and relation type. 2.2

Project scheduling constraints

Scheduling is based on determination of allocation of accessible production resources in time and space, in a way to fulfill the demand for manufactured products with the best possible resource usage. Schedule determination requires taking into consideration a number of constraints. There are two types of constraints hard constraints and soft constraints. Hard constraints must be fulfilled – solutions that meet this type of constraints are the conditional solutions. Soft constraints can be taken into consideration in the selection process of the most profitable solutions from the conditional solutions [7]. Technological constraints decide about assigning of the operations to proper production workstations (resources). Such constraints are deliberated in the first place in order to book resources for particular production tasks. Temporal-sequencing constraints consider the sequence of operations in selected production process. Time-bounds constraints determine starting and finishing time of particular operations or directive terms for task realization e.g. earliest (latest) starting (finishing) time. Task-processing-duration constraints can depend on the type of performed operations, workstation or production task type. There are a number of other constraints broadly described in the literature e.g. [9].


2.3

Classification of project scheduling issues

There is no unambiguous classification of applied models, due to high diversity of project scheduling issues. Authors, on the basis of various criteria, propose partial classifications for limited scope of issues. This results form complexity and great diversity of constraints and optimization directions in the area of project scheduling. For example the general overview of deterministic scheduling models is presented in [9]. In [23] the classification is based on the types of constraints and optimization directions. Basic classes of issues can be distinguished, according to constraint type and optimization directions in the project scheduling area: • no constraints – with realization time of financial flow optimization, • with time constrains – resource division or financial flow optimization (RCPS - Resource Constrained Project Scheduling), • resource constrains (various types) – time characteristic or finance optimization (e.g. TCPS- Time Constrained Project Scheduling), • CCPS - Capital Constrained Project Scheduling, • with multiple constrains – combinations of mentioned models, such as: - TRCPS - Time & Resource Constrained Project Scheduling, - RCCPS – Resource & Capital Constrained Project Scheduling, - TRCCPS - Time, Resource & Capital Constrained Project Scheduling. Essential element distinguishing project scheduling models is the decision scope, which need to be made in order to solve the problem. Project scheduling models can be divided according to the decision area: •

•

•

modes, in which the decisive variable is only the task realization schedule – the evaluation criterion, independent of the optimization directions, depends only on the starting and finishing point of the activity and the problem solution are the task realization deadlines, models, in which decisions consider both the schedule and the way of task performing – models with changing resource requirements (and/or the capital) defined as a relation, models, in which the decisions consider determination of project schedule and payment terms realization.

2.4

27

Basic issues (models) of production scheduling

Production scheduling issues is broadly discussed in the literature [9, 35] and was subjected to various classifications. The most common production scheduling issue division, according to organization and product flow criteria, is into three basic types (Fig. 1): • flow shop issue, in which the flow sequence, through all workstations, is the same for all tasks; in terms of flow issue (f.i.) two additional issues can be distinguished: permutation f.i. which the sequence of operations in particular workstations is always the same and non-permutation f.i. in which tasks can be performed at different workstations in different order, • job shop issue, in which the production flow sequence through various workstations is different for different tasks, but previously determined, • open shop issue, in which the production flow sequence through various workstations is arbitrary – there are no technological constraints in the scope of operation sequencing. 3

Production scheduling algorithms

3.1

Basic scheduling algorithms

Basic methods for production scheduling issues are divided into approximate and precise [Fig. 2]. Usually in practical appliances only the approximate methods are used. Precise methods can be divided into division and boundary methods, methods solving special problems in exponential time or the subgradient methods. There are much more approximate methods than the precise methods; they are usually problem-oriented. Approximate methods can be divided into iteration and construction algorithms. Construction algorithms group includes prioritization rules or heuristics using the bottleneck concept. One of the groups, among the iteration algorithms, consists of artificial intelligence methods such as constraint fulfillment, artificial neural nets, expert systems and ant search. Second group, local search, includes e.g. tabu search, boundary search (e.g. simulated annealing), genetic algorithms and GRASP type meta-heuristic methods [3]. Application of GRASP for the project scheduling issues optimization is presented in e.g. [5, 6].

28


Figure 1. Basic models of production scheduling (source: [35], p. 11)

Figure 2. One of the classification tools for the schedule optimization (source: [3, 9])


29

Figure 3. Schedule example with marked critical path ( (source: self elaboration on the basis of [9] )

3.2

Local search algorithms

Different types of neighborhood described in [18] will be presented. First neighborhood N1 is the change of the sequence of the performance of two activities at the same machine. Operations are sequential, directly after each other, and are present at thee beginning or the end of a block, where the block is understood as a chain of successive operations at the critical path that are performed at the same machine. Unfortunately this neighborhood has some shortcomings – any changes in the order of the operations tions at the machine can lead to the appearance of unfavorable event. Moreover the size of such neighborhood is not very considerable. In case of the mxn issue, when every operation is performed at every machine, its size equals m(n-1). m(n Most of allowed movements vements does not improve, sometimes even worsens, the makespan value. N1 neighborhood appliappl cation tion rule is presented on the basis of one block of a schedule example (Fig. 3).

M1

2.3

1.2

3.1

4.3

5. 3

M1

2.3

1.2

3.1

4.3

5. 3

M1

2.3

1.2

3.1

4.3

5. 3

M1

2.3

1.2

3.1

5. 3

4.3

Figure 4. Application of N1 neighborhood (source: self elaboration) elaboration

Figure 4 indicates that the possibility to switch the operations in the beginning/end of the block is perpe formed at first, next one of the possibilities is selected and then the next movement is performed. Second neighborhood N2 takes into consideration the change of order of the operations performed at the same machine, which are not realized directly one after another and are placed inside of the block. Operation from within the block is moved to the beginbegi ning or finishing place. e. If such situation is not possible (because unfavorable event would occur), the operation needs to be moved to a place that is closest to the beb ginning or finishing place. Constructed solution in the first or second neighborneighbo hood can lead to the creation of new solutions possibilities in the N1neighborhood in the following steps. Example presented below illustrates the creation of N2 neighborhood. Figure 5 shows the change of the operation performance order in case when it is moved from within the block to one of its ends.

M1

2.3

1.2

3.1

4.3

5. 3

M1

2.3

1. 2

3. 1

4.3

5.3

M1

2.3

3. 1

4.3

5.3

Figure 5. N2 neighborhood application (source: self elaboration)

1.2

30


Third neighborhood N3 is also based on the change of the operations performed at the same machine, which are placed directly one after another at the beginning or end of the block. Creation of N3 is a little it more complicated from the previous neighborhoods. It has the following formulation: v and w are the successive operations belonging to the block on the critical path. The operation preceding the v operation is added to these operations - predecessor PMv or the operation following w consequent SMw, resulting in the element collection {PMv, v, w} placed in the beginning of the block or {v, w, SMw} placed at the end of the collection. All possible permutations of the {PMv, v, w} or {v, w, SMw} elements are determined as belonging to the neighborhood, if the order of the v and w elements is also changed. Illustration of the creation of solutions belonging to the N3 neighborhood is presented in the Figure 6 and 7.

Figure 6. Determination of v and w operations (source: self elaboration)

hood

so

it

is

possible

to

write

down

that

N 4 = N 2 ∪ N 3 . Therefore the N 1 ⊆ N 3 ⊆ N 4 . 4

Flexible job shop-open shop production scheduling issues

4.1

Flexible job shop-open shop scheduling issue formulation

The general essence of the problem is the following. There is a certain collection of part types, which needs to be manufactured in the amount stated in the production order. In order to manufacture every type of part it is necessary to perform, in right technological order, a number of operations with limited amount of machines. Every operation has a certain time needed to perform it. Every technological operation can be performed on one machine from the group of technologically changeable machines (flexible job shop problem). Before the start of an operation an initial changeover has to be performed, although if operations of the same type are done the changeover is not necessary (the C/O time is different for particular operations). It is necessary to select, for every operation, the machine and startup time so that the orders can be produced in required quantity with determined constraints and the schedule fulfills the criterion of optimality. In this paper the optimization criterion is the minimal total time of operations (makespan). Several other criteria are included in multilevel schedule evaluation. Formulation of elaborated case study can be counted as flexible job shop scheduling problem (FJSP) as well as the resource constrained project scheduling problem (RCSP). It can be described in the following way. Machine set M was determined (power of the M set is marked as m), set of operations O, which elements are particular production operations σi, i=1…n, where n − power of the O set.

Figure 7. Selection of permutation – solution belonging to the N3 neighborhood and performance of movement (source: self elaboration)

It is important to recognize that first neighborhood is included in the third neighborhood N 1 ⊆ N 3 and that

N 2 ∩ N 3 = ∅ . Another neighborhood exists - N4 that joins the advantages of second and third neighbor-

Every operation σ i∈ O has a relating machine subset Mi ∈ M that can perform these operations. O set is partially sorted – the activity performance order is determined C = {σi p σj}, which determines the sequence of operations (« σi p σj » means that the σi needs to be performed before the σj operation is started). In order to start an operation on a machine the changeover has to be performed. Moreover, classes of the


same type of operations are introduced kj, j=1..K, where K the number of classes of the same type. The main purpose of classes of the same type is the following: if σi and σj belong to the same operation type class and are performed at one machine, whereas after the performance of σi operation the machine does not make any operations to start the σj operation performance, initial changeover of the machine for the σj operation is not needed. Time necessary to perform the σ j operation is marked as p(σi), t(σj) − time necessary for the changeover of the machine before the performance of the operation σ i, S(σi), F(σi) − starting and finishing time of the operation σi, mi − machine, selected form Mi for the performance of the operation σi. The essence of the task is to select for every operation σi ∈ O machine from the set Mi (i=1…n) and after that determine the sequence of operation performed on the machines from M, in a way to assure the minimization of the total time of operations in the schedule (makespan). If all the t(σi) values are equal zero for σi ∈ O, than one can determine the order constraints and Mi subsets in a way to get the classical formulation of the sequential task (job shop scheduling problem). Production scheduling issue deliberated in this paper can be presented in the following way: min F

(1)

with the following constraints:

F ≥ F(σ i ), ∀σ i ∈ O

(2)

F(σ i ) ≤ S(σ i ), ∀σ i p σ j

(3)

S(σ i ) ≥ t(σ i ), ∀σ i ∈ O

(4)

F(σ i ) = S(σ i ) + p(σ i ), ∀σ i ∈ O

(5)

F(σi ) ≤ S(σ j ) − t(σ j ) ∨ F(σ j ) ≤ S(σi ) − p(σi ), ∀σ i , σ j ∈ O , m i = m j , (σ i ∪ σ j ) ∉ k l , l = 1...K

(6)

F(σi ) ≤ S(σ j ) ∨ F(σ j ) ≤ S(σi ), ∀σ i , σ j ∈ O, mi = m j , (σ i ∪ σ j ) ∈ k l , l ∈{1...K}

(7)

F(σ i ), S(σ i ) ≥ 0 ∧ m i ∈ M i , ∀σ i ∈ O

(8)

1-2 constraints limit the optimization criterion (the makespan). 3 constraints determine the order con-

31

straints according to the sequence of technological operations. The 4 constraints require performing a changeover before the start of the operation. Constraints 5 determine the relations between the beginning and ending of the operation performance. Inequalities 6, 7 present the resource constraints (machine can simultaneously perform only one operation), they also include the machine changeover time. Constraints 8 require the operation beginning and ending time were the nonnegative values and the operations were performed on the machines from given technologically changeable groups. Therefore the typical feature of open shop scheduling issues is that particular operations can be realized in any order - different from job shop scheduling issues, where the order is strictly determined. Another version of this issue is the flexible job shop, in which every operation can be performed with technologically changeable machine groups. 4.2

Job shop-open shop scheduling problem solving algorithm

The GRASP procedure [3] was used in the paper for the elaboration of research problem solving algorithm. GRASP procedure consists of two basic stages: construction of the initial solution (stage I) and local searching (stage II). During the initial solution construction stage the allowable solution for the (1)-(8) task is generated and its neighborhood is researched in the stage of local searching. In the foundation of theoretical research on the scheduling issues there is a relatively considerable spread of, so called, bench marks problems in the literature, which are the basis for the relation in the evaluation of performed research. The characteristic feature of these issues is the formulation of certain reality simplifying assumptions such as: • operations of one production order cannot be performed parallel, • every work has m operations – one at each machine, • changeover time is not included or their time is not dependent on the sequence of the operations performed on the machines, • there is only one machine of each type (in practice operations are performed with technologically changeable machine groups),

32


• part of the operations of every work can be performed in any order, • machines are available during the whole time of production realization, • there is no variability factor (the known factors are: number of orders, number of machines, operation cycle time, readiness time). List above justifies the elaboration of algorithms that include the specifics of practical issues , what unfortunately makes it difficult to compare them. In order to check the GRASP algorithm effectiveness the example for the FT (Fisher-Thompson) scheduling case study will be presented, with the 6x6x6 size of the problem [26]. In the table 1 expression 3(1) states that operation 1 of order 1 is performed at the 3rd machine durin the first time unit. The schedule of machine work is presented in the Figure 8. Table 1. Data for the FT 6x6x6 case study (source:[26])

Op. 1 2 3 4 5 6

Job 1 3 (1) 1 (3) 2 (6) 4 (7) 6 (3) 5 (6)

Job 2 2 (8) 3 (5) 5 (10) 6 (10) 1 (10) 4 (4)

Job 3 3 (5) 4 (4) 6 (8) 1 (9) 2 (1) 5 (7)

Job 4 2 (5) 1 (5) 3 (5) 4 (3) 5 (8) 6 (9)

Job 5 3 (9) 2 (3) 5 (5) 6 (4) 1 (3) 4 (1)

Job 6 2 (3) 4 (3) 6 (9) 1 (10) 5 (4) 3 (1)

The use of the GRASP heuristics led to receiving the total operations time in given case study equal to 55 time units, what is the optimal solution.

5

Production project schedules multi-criteria evaluation

5.1

Schedule evaluation criterion

Construction of scheduling model, its structure and data are related to the aim of optimizing activities quantitatively determined and set through the formulation of the evaluation criteria. Key difficulties in the scope of project schedule optimization are the constraints that condition the possibility to construct a multi-criteria schedule. Constraints result from three factors: (1) time, (2) resources and (3) capital. These three factors also deter-

mine the optimization directions and used evaluation criteria. The most common direction is the single-criterion optimization for the selected factor, whereas the two remaining or one remaining factor are treated as constraints or ignored. This allows distinguishing 8 model classes, with such defined three factors. In case of project realization scheduling, the most common are the following approaches: • assuming the time constraint for project realization and optimization of the need for unlimited production resources or cash flow, • assuming limited resources and project realization time or cash flow optimization, • assuming time and (or) resource constraints and optimization of cash flow. Multi-criteria project scheduling optimization issue is often discussed in the literature. Moving form singlecriterion to multiple-criterion analysis is usually realized through the change of constraints (e.g. resources) into the optimization directions (e.g. equal consumption of resources). In [38] authors deal with multiple-criterion analysis of time characteristics. In [25] the scheduling of simultaneous multiple projects realization is analyzed, with the assumption of the project realization fluency – minimization of project realization time span, minimization of in-process inventory defined as task realization delay caused by resource deficiency, equal consumption of renewable resources and minimization of resource waste. Two first criteria are setting the time characteristics optimization direction and the two remaining criteria deal with resource characteristics. In the work [24] the authors ignore all constraints and assume two optimization directions: realization time and cost minimization. The conflict resolves due to the possibility to shorten the time of the project with the increase of additional costs. In [18] with the project realization schedule optimization the following directions were taken: minimization of time span, sustainable resources consumption and project realization cost minimization. Optimization directions are strictly connected with used evaluation criteria: timely, resource and economical. The most common research present in the literature is the one using time criteria. In case of production scheduling issues (one and multiworkstation) the collection of time criteria is largely


M1 M2 M3 M4 M5 M6

2 1 1

2 1

1

1 2

2

4 3

4

2

1

5

5

5 3

6

2

4 3 3

33

4

3 3

5

6

4

5

6 6 6

5 4

6

0

55 job 1

1

job 2

job 3

job 4

job 5

job 6

Figure 8. FT 6x6x6 issue schedule constructed with GRASP (source: self elaboration)

developed and considers such criteria as: finishing time of all tasks, average order flow time, realization delay, realization overtake, missing deadlines and other.

During the relation research a limited set of variants was used (in selected case 50, 100 and more simulation courses). However, correlation factors and correlation equations with the regression function are calculated for the identification of relations.

5.2

Particular values for the makespan, average flow time and average machine level (factor) are obtained form the following equations:

Schedule evaluation with the use of basic characteristics

Few GRASP, Tabu Search and Simulated Annealing [41-44] heuristic algorithms were used in the research scheduling design. Typical feature of these algorithms is the stochastic generation of large number of alternatives. If the model is not very complex, even thousands of alternatives can be generated in relatively short time. During the optimization the algorithm can generate n – dimensional aim vector. Each vector can be represented with n-dimensional aim space point (e.g. one can recognize the place where the 3 dimensional space points are grouped). All vectors exist without normalization or other transformation. This point cluster’s structure can also be analyzed to provide three two-dimensional figures. Additionally, normalization is required for simulation data analysis. In the decision theory different kinds of normalization are used. Usually data is transformed in the 0 and 1 range (where 1 is the best value and 0 is the worst value). Therefore the transformed rsk value is: rsk = (zsk – zkmin) / (zkmax – zkmin ), in case of target maximization, rsk = (zkmax – zsk ) / (zkmax – zkmin ), in case of target minimization, where rsk - transformed s variant value in relation to the k target, zsk – original (simulated) value with relation to k target, min – minimal value, max – maximal set value of S (0 ≤ s ≤ S) variants.

Makespan equals

C max = max{C j } ,

(9)

average flow time _

F=

1 n ∑ Fj n j=1 .

(10)

where _

Cj =

1 n ∑Cj n j=1 ,

(11)

where C j finishing time and flow time Fj = C j − r j , where r j stands for task availability term – the time in which the task is ready for processing (rj = 0). Usage of i machine equals _

Ii =

∑p

ij

C max

,

(12)

and average machine usage time equals _

I=

1 n − ∑ Ii n i =1 .

(13)

Relations between the makespan, average flow time and average machine level (factor) are presented in the Figures 10-13.

34


55000,0 54500,0 54000,0

Makespan [min]

53500,0 53000,0 52500,0 52000,0 51500,0 51000,0 50500,0 50000,0 19,8

19,7

19,6

19,5

19,4

19,3

19,2

19,1

19,0

18,9

18,8

18,7

18,6

18,5

18,4

18,3

18,2

18,1

18,0

Machine usage level [%]

Figure 10. Relation of makespan to machine usage level (series flow) (source: self elaboration)

55000,0 54500,0

Makespan [min]

54000,0 53500,0 53000,0 52500,0 52000,0 51500,0 51000,0 50500,0 50000,0 31000,0

32000,0

33000,0

34000,0

35000,0

36000,0

37000,0

38000,0

39000,0

Average flow time [min]

Figure 11. Relation of makespan to the average flow time (source: self elaboration)


35

39000,0

Average flow time [min]

38000,0 37000,0 36000,0 35000,0 34000,0 33000,0 32000,0 31000,0 19,8

19,7

19,6

19,5

19,4

19,3

19,2

19,1

19,0

18,9

18,8

18,7

18,6

18,5

18,4

18,3

18,2

18,1

Machine usage ratio [%]

Figure 12. Relation of average flow rime to the machine usage ratio (source: self elaboration)

Figure 13. Relations between makespan value, machine usage factor and average flow time (source: self elaboration)

18,0

36

5.3


Structure and influence of production cycle on the effectiveness of the production

Product production cycle is the most significant from the perspective of production processes management. Cycle time is the period between the start and finish of the product production process, in which the incoming material is processed in successive production phases and turned into the finished product. In the production cycle the following operations can be distinguished: technological operations, control, transport, maintenance and storing. Relatively high portion of time is consumed by various brakes in the production cycle structure, although due to the project management requirements one of the crucial issues is the proper placement of tasks in time, during the performance of technological operations. One of the crucial factors of the production process effectiveness is the relation of the working time to the break time, because its value influences the optimal usage of workstations and the economy of enterprise activities. Long production cycle negatively influences its adjustment to the changing market conditions. Therefore it is necessary to shorten production cycles.

of technologically changeable machines), despite relatively long research period, are still one of the basic optimization research subjects in the operations research. This is due to two facts: classical cluster problems module a series of real production processes and algorithms constructed for these problems can be relatively easy transferred to other less complicated processes. Multistage nature of the dynamic optimization with discrete time in case of production can be presented as follows. Let us assume that an enterprise is processing the substation from the A state (resource) to the finishing state Z (finished product) in multistage production process. At every stage (production process operation) the responsible decision-maker has to select one of the possible variants of produced products order, every of them connected with a certain cost (operation finishing time). The following question should be asked: what order needs to be selected at every phase to minimize the total cost?

One of the modern methodologies of production management is the OPT (Optimized Production Technology). OPT philosophy is currently used to support existing production management systems (MRP I, MRP II), or strengthen the Just–in–Time approach. Main target of OPT is the maximization of production result with determined production resources. These activities focus on elimination of production bottlenecks and relate to the general activities of the enterprise. However, as indicated by the research, sometimes the suitable commercial production scheduling tools based on the theory of constraints used in the OTP systems do not bring expected results. This indicates that used optimization methods are not always the most effective (e.g. use of classical priority rules). Current research, in the scope of production scheduling, reveal that the best results can be reached with meta-heuristic methods, usually defined as the computing intelligence methods. 5.4

Influence of the task order on their realization time

Issues connected with the analysis of the classical scheduling problem for production clusters (groups

Figure 14. V [q(j)] values in relation to the change of production task order trajectory in a production process (source: self elaboration)

Figure 14 illustrates the selected problem, where the x axis shows the particular phases (production operations) and the y axis shows states (the order). Starting point (first operation) is the point 1 and the finishing state (last operation) is the M point. In order the possible changes from the A = 1 state to the Z = M state, many different trajectories are created and researched. Every trajectory has a value, in this case the cost (time of manufacturing). Therefore, the main problem is to select the trajectory, where the optimal path needs to be selected in a way to assure the minimal total time of operations.


Let us assume that the functions above are the time trajectories marked as y1(t), y2(t), etc. (Figure 14). In the Figure 14 - V1 and V2 stand for suitable path values. For the researched scheduling case the value of a particular path can be marked as V[q(j)], where q (j) is the basic unit and marks the time “paths”. That is why V is not the function of j, but is rather treated as the “q(j)” function. Instead of the V[q(j)] notation one can use the V[q] or V{q} marking. In case of V[q(j)], q(j) stands for the trajectory change marking, where „q(j)” = {q(1),...,q(M)}. Such record emphasizes that the change of the q path – variation of q path – but not the change j that lead to the change of V value. Whereas the q symbol is used to pinpoint a particular state e.g. q(1) is a starting state and q(M) is the finishing state. When we speak of the q(j) path we do not give any special value to j but when we pinpoint a particular path or its segment, we use the notation q[1,M] or q[1,k], where k (1 < k < M). Optimal path is marked as y*( j) or y*. More systematic problem solving method is required for complex issues. Numerous examples indicate that short-sighted optimization, increasing selected criterion on a single phase (production operation) forward (optimal ordering at every operation determined on the basis of the local aim function), do not bring the optimal path. 5.5

Schedule searching and (criteria) evaluation space

37

nealing, tabu search, genetic algorithms) confirms its considerable effectiveness. One of the characteristics used in production process analysis is the production type indicator k=n/m (n- part number, m- machine number). It can be described with the “production type” function µ TP (k) (Figure 15).

µTP (k )

1

µTP w

0

2 5

µTP s

10

µTP m

20

30

k

Figure 15. „Production type” function µTP (k ) (source: self elaboration)

Let us assume that K={2, 3, ... , 30} – collection of states representing production type; TP={TPw, TPs, TPm} - collection of dispersed states representing production type: TPw – high volume production, TPs – mass production, TPm – short-run production; where dispersed collections corresponding to TPw, TPs, TPm have the values (Figure 15). Particular TP values can be described as follows:

Searching space presented above can on one hand be used to generate solutions that use different ordering schema and on the other hand to present V[q(j)] relations reached with particular optimization techniques. Obviously, due to the combined nature of solved problem it is more proper to speak of path group (suboptimal) rather than about a single trajectory (solution). For example the suboptimal solutions subspace, for the particular type of scheduling issue, reached with partially controlled random algorithm, can be presented with lower and upper values of q. Performed research is aimed at the criterion function value (minimal time of task realization) with the use of currently most popular meta-heuristics (simulated an-

TPw = 1/k2 + 0,5/k6 + 0,1/k10 TPs = 0,1/k5 + 1/k13 + 0,1/k20 TPm = 0,1/k21 + 0,5/k26 + 1/k30 Searching space for the scheduling issue is shown in the coordinate system (j, k, q), where j operation of the process, k=n/m – production type indicator, q – order of product manufacturing at the j operation [qT = {1,...,n}; q-T = {n,...,1}] (Figure 16). This relation can also be shown in the coordinate system (j, w, q), where w – indicator describing the relations between realization time and realization time + startup time. Reached results with the use of AHP method, described in the following part of the paper, can be presented in a way shown in the Figure 16.

38


Figure 16. Schedule searching and evaluation space (source: self elaboration)

5.6

Multi criteria evaluation with the use of the AHP method

Multi criteria decision method AHP allows formalizing the decision-making process. Decision-making process structure with the use of AHP procedure is shown in the Figure 17. Decision-making process requires double hierarchy with five criteria and five alternatives (methods). First hierarchy represents few of the experiments (weights of the experiments are equal due to their equivalence - a=b=...=z). Second hierarchy is a projection of selected criteria, which are: C - makespan, F – average flow time, L – maximal possible delayed delivery time, D – average

latency and E – average speed-up of performed activities. These criteria have different weights (from a1 to a5) because some of them are more important than others e.g. the most important one is the makespan and it was assumed that it is 3-times more important for the decision-maker than the average flow time. The alternatives are the five methods: GRASP, SN, TABU, SA, WG, with the use of which the experiments were performed. For a single schedule, received with every method, the values of, previously mentioned, schedule evaluation criteria were determined. Weights from a11 to a55 have alternatives. Weights of particular hierarchies must add up to 1, e.g. a1+a2+a3+a4+a5=1; a11+a12+a13+a14+a15=1.


39

Figure 17. Decision-making process structure with the use of AHP procedure (source: self elaboration)

The essence of the AHP is the determination of relative weights to order the alternative decisions. Assuming that we deal with n criterion in particular hierarchy, procedure assumes that the comparison matrix A with the n x n dimensions is created, which determines the decisions concerning the relative meaning of each criterion. Comparison is performed in pairs in a way that the i (i =1,2,...,n) criterion in the row is classified in relation to every other criterion. We assume that aij defines the (i,j) element in the A, matrix, whereas AHP uses scale e.g. from 1 to 9, in which aij=1 means that i and j are equally important, aij =5 indicates that i is more important than j, and aij =9 means that i is definitely more important than j. As a result if ai =k than aji =1/k.also all elements of A matrix that are on the diagonal must equal 1, because they order the criterion with relation to themselves.

Steps, that need to be undertaken with the use of AHP method are as follows: 1. First step is the construction of the comparison matrix, which allows to compare the criteria in pairs. This matrix indicates that e.g. C - makespan, is more important than L – maximal accepted delay and that is why a13 =4 and automatically a31 =1/4=0,25.

40


2. The next stage is creation, for every comparison matrix A, matrix of normalized values N. This requires the division of every A matrix element with the sum of elements from this column.

6. Sixth step (similar to third step) calculates relative weights w for the alternatives as an average for every row in the normalized values matrix. The result of the calculation is:

For example one of the weights in the NF matrix for the fourth alternative is:

3. Third step is the calculation of weights for the criteria as an average for every matrix row in the normalized values matrix, e.g. fr the C criterion it equals:

wC =

0,429+ 0,429+ 0,429+ 0,429+ 0,429 = 0,429 5

The result of the calculations is:

(w

C

, w F, w

(0,429;

L

0,143;

,w

D

,w

0,107;

E

7. Classification of every method is performed in the end, based on the calculations that include calculated weights. Calculation results for all methods are collected in the table 2. Results were also illustrated in the chart Figure 18.

) =

0,214;

0,107)

4. Further activities include creation of comparison matrix for the alternatives. One of the comparison matrixes is presented blow:

Table 2. Method classification (source: self elaboration)

G RASP SN TABU SA WG

5. Normalized values matrixes N for the alternatives need to be created at every stage of the comparison matrix A.

Figure 18. Graphical illustration of method classification (source: self elaboration)

0,203 0,137 0,161 0,330 0,169


6

Project scheduling in the stochastic environment with the use of modern tools

6.1

Project scheduling in the stochastic environment

Most activities in the scope of limited resources constrained project scheduling (RCPS) focuses on the project minimization time in the deterministic environment. Project activities are usually bound with uncertainty, which can result from variety of sources: tasks can be performed faster or slower than originally estimated, resources can be unavailable, material delivery can be delayed etc. Resources constrained project scheduling in the stochastic environment (stochastic RCPS - SRCPS) is a stochastic equivalent of RCPS issue, where time of activity are not known in advance but rather represented as the random variable. SRCPS activities are performed seldom. Few examples from this scope can be fount in [34], where an experiment with division and branch-and-bound algorithms. In [37] greedy and local search heuristics were elaborated. Time/resources relations with stochastic realization time are presented in [16, 17]. In [6] analysis is performed for many possible aim functions of the project scheduling in stochastic environment. Experiment proved that different aim functions are similar and, for most practical appliances, the focus on the minimization of estimated general task performance time (makespan) is sufficient. GRASP was elaborated - heuristics, which application brings high quality solutions, exceeding the existing algorithms for the minimization of existing makespan value. Moreover, the makespan value distribution, for particular scheduling policy, was analyzed. SRCPS issue project realization can be deliberated as a dynamic decision-making process. The solution is the P policy, which determines the activities in determined decision making periods (decision times). Decision times are usually t=0 (project start) and activity finishing time. Therefore the schedule is constructed gradually in time. In the decision making during the t time it is only possible to use the information that will be available before and during this time; this requirement is usually deliberated as an unexpected constraint. In [6] the elaborated GRASP-heuristics is compared with other SRCPS algorithms present in the literature.

41

Genetic algorithm (GA) [5] is deliberated, where the same data collection was used with U1 and U2 distribution and Exp (normal or exponential distributions). Comparison was also made for tabu search and simulated annealing [ 37]. 6.2

Project scheduling with the use of stochastic optimization

Hybrid algorithms are more often used in project scheduling. One of the stochastic optimization methods is the simulated annealing (SA). In [32] the SA algorithm together with the variable neighborhood search for the optimization of scheduling with limited resources, time and other constraints, mainly for RCPS issues, is presented. Apart form genetic algorithms, simulated annealing procedures or tabu search, other modern stochastic tools are used for project scheduling. One of such solutions is the Particle Swarm Optimization. Particle Swarm Optimization (PSO) is one of the modern heuristic stochastic optimization algorithms based on populations. Models used in the swarm optimization keep some of the heuristic features characteristic for living organisms e.g. ability to herd (cumulate) or possibility to find certain points in space. Virtual units with these features are defined as the particles. Intelligent particle swarms are identified with the properties of every unit which: determined coordinates, knows its position, knows the evaluation function value for its position, has determined speed and turn, remembers the best position ever reached, remembers the evaluation function value for its best position, knows its neighbors, knows the evaluation function value of its neighbors. Determination of "solution projection” mechanism is one of the crucial factors in the specific domain problem solving PSO application. For the project scheduling issue solution in [13], the concept of energy function was introduced. State variable Vijk is defined as the performance or work i that is performed at the j machine in given k time. Moreover, Vijk =1 state indicates that the work i is realized at the machine j in time k, otherwise Vijk = 0. Because the j machine can perform only one work i in given time k, so the energy can be defined as follows [13]:

42


N

M

T

N

∑ ∑ ∑ ∑V i =1

j=1

k =1 i1 =1, i1 ≠ i

ijk

Vi1 jk

(14)

where Vijk is defined as above; i (i=1,...,N) presents the general number of tasks for scheduling; j (1,...,M) presents the general number of machines to use; k determines the specific time from 1 to T, the latest possible finishing of work. Minimal value of this expression equals zero, when both Vijk and Vi1jk are equal zero. It is assumed that if a work is assigned to a particular machine, then it has to be performed in total at this machine. According to this constraint the energy function is determined as follows [13]: N

M

T

M

T

∑ ∑ ∑ ∑ ∑V i =1

j=1

k =1 j1 =1, j1 ≠ j k1 =1

ijk

Vi1 jk1 (15)

Number of other more complex energy function forms, connected with the determination of the constraint scheduling, were introduced in the work [PSO] as well as the algorithm to solve this issue was presented. In this work the aim of the energy function is the evaluation of energetic value of the candidate for the solving of every particle and selection of the best solution for the next iteration according to the energy value. Therefore coding the particle for the projection in a discrete matrix (with element values from the 0-1 range) is a significant factor in the use of energy function for the PSO.

i is realized at the j machine in the k time; otherwise Vijk = 0. Presented PSO optimization, which uses the energy function, is a satisfactory work scheduling method with the use of multiple resources (multiple machines). 7

Summary

Experiments performed in the paper as well as the literature analysis confirm the high effectiveness of the heuristic algorithms, including GRASP both in deterministic and stochastic environment. For the selected scheduling issue the relations between makespan (minimal total time of operations) and average production cycle time as well as machine usage in relation to average production cycle time, were presented. Criterion relations in three-dimensional space were presented, apart form the relations in two-dimensional criteria spaces. Production process flow was presented in a three-dimensional space determined by the order of activities at particular operations and production type indicator. Selected modern dimensions of scheduling optimization in the stochastic environment and stochastic optimization tools were presented. 8

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Sakalauskas L., G. Felinskas G. - Optimization of Resource-Constrained Project Schedules by Simulated Annealing and Variable Neighborhood Search [in] Journal Ukio Technologinis Ir Ekonominis Vysty. Vol XII, No. 4, 2006, pp. 307-313.

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Sule D. R. - Production Planning and Industrial Scheduling. CRC Press, N. Y. 2008.

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Trocki M., Grucza B., Ogonek K., Zarządzanie projektami, Polskie Wydawnictwo Ekonomiczne, Warszawa 2003.

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Kerzner H. - Project Management. John Wiley&Sons Inc., New Jersey 2006.

Tsai Y. W., Gemmill D. D. - Using tabu search to schedule activities of stochastic resourceconstrained projects [in] European Journal of Operational Research. No. 111, 1998, pp. 129-141.

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optimize the flexible job shop problem [in] Fuzzy Logic, Soft Computing and Computional Intelligence (Liu Y., Chen G., Ying M. ed.). IFSA 2005, vol. III, Tsinghua University Press - Springer, Beijing 2005, pp. 1620-1625. [43]

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Information Security Aspect of Operational Risk Management

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INFORMATION SECURITY ASPECT OF OPERATIONAL RISK MANAGEMENT Janusz ZAWIŁA-NIEDŹWIECKI*, Maciej BYCZKOWSKI** *Faculty of Management Warsaw University of Technology, ul. Narbutta 85, 02-524 Warsaw e-mail: [email protected] **European Network Security Institute ul. Jana Pawła II 34, 00-141 Warsaw e-mail: [email protected] Janusz ZAWIŁA-NIEDŹWIECKI, Maciej BYCZKOWSKI OPERATIONAL RISK

Abstract: Improving organization means on the one hand searching for adequate product (service) matched to the market, on the other hand shaping the ability to react on risks caused by that activity. The second should consist of identifying and estimating types of risk, and consequently creating solutions securing from possible forms of it's realization (disturbances), following rules of rational choice of security measures as seen in their relation to costs and effectiveness. Activities of creating the security measures should be organized as constantly developing and perfecting and as such they need formal place in organizational structure and rules of management Key words: operational risk, risk management, information security, information security management, IT security.

1 1.1

Operational risk Operational risk management

Concept of operational risk, first as a definition and, next, as a full classification, appeared for the first time in documentation of Basel Committee1 in the middle of 1990’s. Although in its English form operational risk management is unfortunately similar to operational management of risk, the term became gradually more and more popular outside the banking industry and, recently, even outside the finance sector. According to Basel Committee “operational risk is the risk of loss resulting from inadequate or failed internal processes, people and systems or from external events.” [1]. “The definition includes legal risk (i.e. the risk of loss resulting from failure to comply with laws, ethical standards and contractual obligations) but excludes strategic and reputational risk.” [2]. An important matter seems to be the observation concerning universal character of the Basel Committee’s concept from the point of view of other branches of economy. It can be safely stated that operational risk is the risk of sufficiently efficient functioning of an organization, characterized by the same regularities in case of financial institutions, production plants, trade companies or public administration. 1

Basel Committee on Banking Supervision “Operational Risk Management”, IX.1998.

Risk, as a characteristic of activity, is subject to influence of conscious management, which means both possibility and professional obligation to manage it in such a way to identify, analyze and estimate it. On basis of this knowledge, its level and signs should be influenced. Classic model of such approach to management is presented in Fig. 1. Such a complex risk management should lead to a situation, in which the organization (management) is aware of risk and its magnitude. Awareness means, that risk has been identified, researched from the point of view of its causes, way of realization and scope of possible effects. The most important stages of risk management are: risk identification, analysis and measurement (assessment). Until this happens, it is hard to speak concretely of risk, because risk-limiting or security actions cannot yet be taken. In general, it can be stated that, without knowing the risk, one deals with a threat viewed, above all, as: unawareness, recklessness, negligence. When appropriate diligence of activity is maintained, there is no speaking of unclear threat. On the contrary, the risk is referred to as probability of given result or probability distribution of an imaginable set of results. This is described by the most general risk equation: R = P x I, where R refers to risk, P to probability of an event, I to the influence of the event on the organizational activity (size of losses).

46

Janusz Zawiła-Niedźwiecki, Maciej Byczkowski

Figure1. Structure of risk management process (source: [6])

In the operational risk management it is not a risk of single, critical event that matters, but the general map of risk composed of all possible critical events. This enables us to determine total risk, risk of especially probable events or risk of especially severe events. The above mentioned equation points to two fundamental risk factors, which, in the course of analysis, allow us to classify particular possible critical events according to their importance for the appropriate functioning of the organization. Subsequently, intensive actions can be carried out towards those critical events, which were found most important during the analysis. This is shown in Fig. 2. Reaction to critical events, viewed as signs of risk, may refer to causes of these events (prevention as exante activity) or to their results (therapy as ex-post activity). The first type of activity is referred to as ensuring operational security, the second one as ensuring business continuity. Reactions of both types base on analysis of risk, its causes and effects, but also on the analysis of core organizational activity – the one that is characterized by the given sign of risk. In reality, risk reveals itself through phenomena of a given character, but the final influence on organization is only possible, when such phenomenon encounters organizational vulnerability concerning one or a few organizational processes, either in the sense of organizational imperfectness of such a process,

or weakness with regard to choice of resources used by the process. Therefore, risk analysis consists in determination and evaluation of: • processes which decide about realization of organizational tasks, • set of disrupting phenomena and probability of their occurrence, • resources vulnerability, in the sense of magnitude of disruptive phenomenon potential influence on organizational activity. A desirable situation is to possess sufficiently reliable statistical data, which describe probability distribution of disruptive events. In reality, however, this happens with regard to not so many types of events, though i.e. Basel Committee has recommended, and Polish governance organs including Polish Financial Supervision Authority (before 1.01. 2008 Commission for Banking Supervision) instructed to gather such statistical data within framework of systematic risk analysis. In case such statistical data is unavailable, what remains is to perform evaluation based on risk factors assessment. It is, nevertheless, necessary to assume that an entity with high organizational culture, independently from governance bodies’ requirements, will gather and analyze adequate statistical data, referring to the organization and its activity, out of its own belief.


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Figure 2. Model approach to threats (source: [16])

Currently, there exists no final classification or convincing-enough interpretation of types of operational risk. At present, it is only possible to suggest directions for such classification, which could consist in presenting types of risk in three different orders: • from the point of view of causes of critical events, • from the point of view of mechanism of their realization, • from the point of view of critical events results. An approach towards classification of operational risk from the point of view of its causes could be the well known and often quoted in literature proposition [10]: fraud risk, lack of reconstruction plans after a catastrophe, regulatory risk, risk of losing reputation, administrative risk. However, this classification is relatively superficial because it lacks clear explanation for the chosen criteria of division. This requirement is, on the other hand, fulfilled by classification shown in Table 1. It is based on the observation, that risk realization is a result of given type of threat’s interference with an organizational vulnerability, which reflects organizational actions inefficiency. Therefore, organization and its threat vulnerability was treated with the use of process approach, which includes interpreting management model as goal realization through a cycle of managerial activities based on use of basic types of resources.

The classification described below does not meet such rigorous assumptions concerning ordering criteria. However, it is the most commonly quoted one because it is recommended in Basel II documentation and EU regulations as well as Polish Banking law. It consists in dividing risk into categories: internal fraud, external fraud, staff policy and occupational safety, clients, products and business policy, damage to physical assets, disruption of activity and system failures, carrying out transactions, process management [8]. This classification, as an approach of experienced professionals to order the list of well-known and repetitive critical events, is also used outside the banking sector. However, when it comes to designing security and business continuity solutions, this classification causes some problems. These problems refer to lack of sufficient precision in distinguishing between particular categories and ambiguous ascribing of responsibility. Therefore, when designing risk management solutions, most commonly a simple division is used, which encompasses: • management of physical and technical security, • management of personal security, • management of information and IT systems security, • business continuity management.

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Table 1. Classification of types of operational risk (source: [16]) ↑ Vulnerabilities ↑

↓ Threats ↓

Core processes

Supporting processes

Management processes

1.2

Areas of risk realization (expression of resources security and organization )

Environment

Organizational efficiency Risk of natural disasters Risk of terrorism Risk of external disruption of functional working environment (i.e. lack of access to headquarters) Risk of physical working environment disruption (i.e. too high temperature) Risk of internal disruption of functional working environment (i.e. strike, accident) Risk of disruption of technical working environment (i.e. A/C malfunction) including Risk of disruption of IT working environment (i.e. computer malfunction) Ideal organization postulates (expression of management goals) Efficient (or- Rational Effective ganizationally (costSafe Repetitive optimal) optimal) Risk of relative Risk of rouRisk due to Human reLack of staff Risk of staff interpretation tine (fossililack of comsources reserves risk fluctuation petence zation) Risk of ill will Risk due to Material Risk due to lack of material Risk of sideRisk of lack of funcresources reserves effects wearing-out tionality Risk due to Financial Risk of excessive expendi- Risk of running out of reunsuitable resources ture sources expenditures Risk due to Information Risk of not keeping up with Risk of inac- Risk of dislack of full resources development cessibility tortion information Risk of an Risk of security Risk of defiOrganizaRisk due to lack of organisuperiority over incident (malciencies tion zational potential efficiency function)

Risk analysis

The most common approach is so called BIA (business impact analysis), based on identification of core processes and their particularly critical elements as well as factors, which may negatively exploit this criticality. Such a primary analysis is then described in detail through assessment of the identified risk. An exemplary assessment is provided by TSM-ORA method (total security management – operational risk assessment) [17]. First stage of analysis in this method consists of: • determination of system boundaries, within which its resources are located, • description of environment, in which the system operates (both physical as well as legal and organizational one), • definition of assets.

It consists in determining goals and business system functions, which require ensuring resource availability; next, in determining system processes aimed at realization of system goals, and, finally, determining resources (also intangible), which enable that. Assets should be assigned values, which would determine their importance in the light of system goals. These values should relate to costs of obtaining and maintaining the assets. Second stage is the identification of threats. Their analysis consists in determining which of them actually concern the analyzed system and what is the probability of their occurrence. This probability may depend on the type and value of business system asstes, which are exposed to particular threats. Evaluation of such resource vulnerability may be carried out in two ways. First of them is to create a list of system weaknesses, which could be used by potential sources of threats, and to assess the easiness of their use. This technique


is difficult in the sense that business weaknesses are most often observed after the vulnerability has been used and caused disruption. A reliable-enough evaluation is possible in this case only on the basis of gathered statistics of incidents, which, in reality, are still very rare. The second method is to start from identified threats and evaluate, how vulnerable to them the particular assets are. When it comes to system interaction with threat, as a result of use of vulnerability, we speak of disruption. Crowning of the risk analysis process is elaboration of map of potential disruptions, which comes into being after combining analysis with assessment of two factors (see Fig. 2): probability of the disruption and influence of this disruption on the business system. One consequence of risk analysis is that, subsequently, works on ensuring security and business continuity are being undertaken. Those are achieved through solutions for manipulating and monitoring signs of risk.

is characteristic for crisis management, it appears to be, above all, a value. “On one hand it is a certain social, civilization, cultural, economic and ecologic value, etc. – on the other, however – it is a hard-to-overrate existential, moral and spiritual value” [15]. In accordance with Maslow’s research [11], feeling of security is the second need among fundamental human needs. Therefore, it is right to say that “goal of crisis situation management is not just fastest possible return to normality. The essence of this type of management is to force an organization to become aware of moral and social responsibility with regard to internal and external stakeholders.” [13]. Creating such a awareness, both in solely professional (organizational culture) as well as social and moral dimension, is currently a great challenge in the field of management. It is defined as corporate social responsibility (main idea of Forum in Davos, since 1980’s). 2.2

1.3

Codes of best practices

Such codes of best practices are [14]: • COSO-ERM, Committee of Sponsoring Organizations of the Treadway Commission – Enterprise Risk Management, • FERMA, Federation of European Risk Management Associations, • POLRISK, Polish Risk Management Association, • MiFID, Market in Financial Instruments Directive, • M recommendation of Polish Banking Supervision Inspectorate, • ISO 27005 standard, • AS/NZS 4360 standard. Risk management maturity may be evaluated with the use of model suggested for banking industry with regard to financial risks (BBA model [3]). A sufficient analogy exists here concerning organizational and methodical rules. 2 2.1

Organizational security Security viewed as value

In the context of operational risk management, security is a certain state of social and subjective reality, limited to a single organization or branch of similar organizations. From the general society point of view, which

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Ensuring security viewed as risk manipulation

Security issues are realized through solutions, which mainly aim at prevention, consisting in observation of threat factors, monitoring of characteristic and typical symptoms of their activation and prevention of their interaction with organizational business system and organization environment. If these actions fail and the organizational activity is disrupted, it means it is the time for planned and organized reconstructive activity, which should determine the acceptable ability to maintain business continuity. In design of security solutions, the following general rules, which are mainly referred to people as the main source and object of threat, are used [16]: • rule of authorized access – each employee has undergone a training in principles of security and protection and meets the job and information access criteria (official secrets), • rule of necessary privileges – each employee has only these job and information access rights, which are necessary for him to carry out his tasks, • rule of necessary knowledge – each employee has at least the knowledge about the job, to which he has access, that is necessary to carry out his tasks, • rule of necessary services – organization provides only those services which are demanded by client, • rule of security measures – each security mechanism must be protected by another (similar) one, and

50

•

• •

•

• •

•

• •

2.3


in special cases additional (third), independent security measure may be used, rule of collective awareness – all employees should be aware of the necessity to protect organizational resources and actively participate in this process, rule of individual responsibility – particular persons are responsible for particular elements’ security, rule of necessary presence – the right to be present at given places is granted only to authorized persons, rule of constant readiness – organization is prepared for each and every threat; temporary switching-off of security mechanisms is unacceptable, rule of weakest link – level of security is determined by the weakest (least secured) element, rule of completeness – effective security measure is only possible when a complex approach is taken, which includes all levels and parts of the general working process, rule of evolution – each organization must constantly adapt its internal mechanisms to changing external conditions, rule of suitability – mechanisms used must be suitable to the situation, rule of acceptable balance – security measures used cannot exceed the level of acceptance (cost measures with regard to outlays, effects and potential losses are especially advised here). Areas of ensuring organizational security

Ensuring organizational security refers to particular types of resources. Therefore, personal, physical, technical, financial, information and IT security are distinguished. As can easily be seen, particular categories remain in tight relationship to one another and, partially, even overlap. One speaks of: physical security of people, security of personal data, financial instruments’ physical security etc. Ensuring physical and technical security is derived from the following key rationales: • need for precise definition of organizational location boundaries and spheres of provision of particular functions and services for clients, as well as through and for the organization employees, • need for imagining and defining potential threats and their possible realization scenarios as disruptions of normal organizational work,

• need for organization of processes concerning organizational functions, organization of ensuring physical security as well as choosing and applying security measures, including technical ones. Employment of good practices with regard to this issue consists in elaboration of: • division (classification) of security zones, • rules for choosing security solutions, • security rules for particular zones, • rules of access authorization, • rules of security control, • rules for choosing and verifying security employees. Ensuring personal security, on the other hand, is derived from the following key rationales: • need for choosing and employing people who are characterized by high level of morale and responsibility (so called “righteousness rule”), • requirement concerning adequateness of employees’ professional sills with their tasks and potential ability to adapt to changing requirements, which may result from organizational and business development of the organization or competitive market development (so called “competence rule”). Employment of good practices with regard to this issue consists in elaboration of: • employee ethics code, • rules of employees selection and verification, • rules of entering and leaving the organization, • rules of determining individual and team roles as well as designing workplaces, • rules of delegating tasks, • rules of remuneration and motivation, • rules of staff reviews, • rules of determining individual career paths, • rules of promoting employees, • rules of systematic employee training, • rules of protecting secrets of company, clients, etc. As far as ensuring information security is concerned, it is derived from the following key rationale: • ensuring that information is made accessible only to authorized persons (so called confidentiality rule), • ensuring total precision and completeness of information and methods of processing information (so called “integrity rule”), • ensuring that authorized persons have access to information and related assets only when there is such a need (accessibility rule).


Three levels of content-related information security management are distinguished: • information security policy – determination of security requirements at the level of whole organization and with regard to all information groups, systems and solutions, which are used to process these information (including storing and transportation), • information group – specification of security requirements for information groups, mainly distinguished as an autonomous class of information used

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for specific problems, processed in a given functional department (i.e. financial information, staff information, client information, etc.), but also, in some cases, covered by separate legal regulation i.e.: classified information, personal data information, • processing system – fulfillment of security requirements both by traditional and IT systems, which process certain groups of information for particular categories of users.

Figure 3. Information security management maturity levels (source: [7])

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2.4


Management of ensuring security

Security management in an organization is conducted differently, depending on the area it concerns. And so, physical security management, but also occupational hygiene and safety, is institutionalized (partly defined by general law i.e. concerning occupational hygiene and safety, or industry law, i.e. banking) and takes form of separate workstations/cells. On the other hand, personal security management in the area of “hard approach to HR” is also institutionalized, whereas in case of “soft approach to HR” it has a character of a certain organizational activity policy towards employees and of researching its effectiveness in relation to employee attitudes towards tasks and the employer. Furthermore, information security management consists in appointing specific roles to employees, who, at the same time, fulfill other tasks within the organization. Especially with regard to IT security it is connected with the necessity of constant development of professional knowledge from the field of IT, which is dynamically changing. Similarly, the security requirements change. In case of security ensuring activities there is a general rule of separating tasks concerning determination of security standards/requirements/rules and controlling their fulfillment/abidance from tasks concerning their implementation/appliance. This is achieved through delegating them to separate persons/organizational cells. 2.5

Codes of best practices

• Act on Protection of Persons and Property (consolidated text.: Journal of Laws 2005, no. 145, pos. 1221), • Banking Act, • Personal Data Protection Act, • European Committee resolution no. 2001/246/EC of 19 March 2001 (reviewed on 19.11.2001), • ISO/IEC 27002:2007. Fulfillment of the information security ensuring rules described so far is a basis for evaluation of security management maturity. A model for such evaluation was proposed by Information Systems Audit and Control Association (ISACA).

3 3.1

Information security Information security management

Ensuring security of the processed information in an organization has to consist in providing complex solutions to the problems of information and information security management, as well as in implementation and development of security measures (organizational and technical). The primary goal is the protection of the interest of a given organization (business security) and minimizing risk of legal consequences on the ground of lack of security or improper activities towards information, the protection of which is required by law. Therefore, a complex solution must encompass both business and legal aspects of information security. Such a complex approach recommended by various standards is ISMS (Information Security Management System ISO 27001, in Poland: PN-ISO/IEC 27001:2007). “Information Security Management System is a part of the total management system, based on the approach which results from business risk, referring to establishing, implementing, using, monitoring maintaining and improving information security”. ISMS has an interdisciplinary character, combining different disciplines including: information technology, law, organization and management. Introduction of this type of system is important because it creates a stable company image of being worth the trust of a wide group of stakeholders. Standards do not say precisely how to build the management system. Therefore, in practice, it is possible to base on expert solutions. According to TISM (Total Information Security Management – ENSI methodology) methodology, organization of ensuring information security, with regard to information that is processed within the organization, consists in establishing rules of information management at three levels: Information Security Policy, Information Groups and Processing Systems (source: [4, 5]). At the level of information security policy basic rules for protection of information within organization are established. At the level of information group specific requirements towards protection for given group of information are established. At the level of processing system the fulfillment of requirements of the higher levels by a processing system, containing given group of information, is assessed.


53

Figure 4. Aspects of information security management (source: [4])

Information security concept is based on three pillars: • existence of a suitable organizational structure with regard to information security management, • information classification – division into limited information (company secrets, to be used within company) and public information (publicly available), setting appropriate processing (zones) and storing places (IT system, paper archives). 3.2

Structure of information security management

Through elaboration of information security policy and appropriate internal regulations of an organization a specific information and information security management structure is formed. It consists, in accordance with TISM, in determination of proper managerial and controlling roles, which, in line with the “rule of two” (separate management of information processing and establishment of security guidelines and control of compliance with them) are grouped in two functional departments: managerial (adminis-

trative) and control (security), and refer to three levels of information security management presented above. At the level of information security policy the following roles are defined: Information Manager (IM – most often a member of the highest management) and Plenipotentiary for Protection of Information (PPI). At the level of information group, the roles of: Information Resource Manager (IRM – most often the head of organizational department) and Information Security Administrator (ISA), are defined. At the level of information processing the roles are: System Administrator (SA), System Security Administrator (SSA), for big organizations Chief Security Systems Administrator (CSSA). The primary role in information security management is played by PPI. All the employees of both departments, who fulfill the mentioned roles are subordinate to him. Control (security) department is responsible for supervision and control of information security at each of the three levels. The roles cannot be combined between the departments. However, one person can fulfill the role of ISA for a couple of information groups. Also, one person can be the SSA for a couple of processing systems.

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Figure 5. Structure of information management and information security management (source:[4,5])

3.3

Information security management processes

Processes of information security management encompass the management of all information resources (including resources aggregated in IT systems) and their use on three hierarchical decision levels: strategic, tactical and operational. At the strategic level a general information security policy is conducted, with regard to identified, defined and analyzed risk and fundamental expectations towards level of information security and with regard to model tasks and solutions, which result from these expectations. Therefore, the highest management is involved in the decision processes at this level. The highest management determines fundamental information security criteria (derived from normative criteria and to be realized on the basis of identified attributes of information). At tactical level information security standards and rules for control of their execution within the IT solutions and products, which are used, are established. Also, standards for compliance in practice with proper use of those solutions and products are created (in accordance with the pre-determined levels of security: standard, increased or special).

These decision processes involve mainly the management of departments responsible for general, physical, technical, personal and information security as well as information technology. At the operational level, information security administration is carried out from the viewpoint of full employment of security standards and solving disruptive situations, which result from breaking these standards (intentional or accidental). In the information security management organization it is assumed, that basic rules for creation of total security and information security management structures are: • complete separation of management and controlling functions from executive functions, • preventing misconduct and maximal limitation of mistakes made by individuals within the area of one-man responsibility, • ensuring independence and unbiased character of individuals who carry out security audit, having guaranteed that the company secrets will be kept. All the security processes, security solutions and organization of ensuring security must stay in accordance with the above mentioned rules.


Figure 6. Processes of information security management (source: [16])

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Fiure. 7. Map of Information Security Policy documentation (source: [5])

3.4

Information security policy documentation

Rules for protection of information should be contained in information security policy – set of documents aimed at certain users (managers from both departments and all other users of information), which consists of: • Information Security Policy – main document, • Rules of Information Security Management, • Regulations, including: - Information protection byelaw, - IT system user’s byelaw, • Information Groups Security Policy, including - Policy for Personal Data Security, • IT system security policy, including: - Rules for IT areas, - System procedures and configuration standards, • Instructions, including: - instruction on conduct in case of breach of information protection, - instruction on management of IT system for processing personal data. The Information Security Policy document defines: • which information groups will be subject to protection (this means that, through formal internal

•

•

•

•

•

•

management, groups of protected information are determined, including: company secrets, personal data and legally protected information, while all the other information will be regarded public), which systems will process protected information (broad understanding of processing system as both IT but also traditional, paper one), who and on ground of what rules will have access to protected information (information users – employees, persons from outside), who will be responsible for information security in the whole organization (Plenipotentiary for Information Security), who will be responsible for management of protected information groups (Information Resources Managers), who will be responsible for management of protected information groups security (Information Security Administrators), who will be responsible for security of information groups processing systems (System Security Administrators).


Figure 8. Information security management maturity levels (source: [7])

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58


Rules of information security management defined by Information Security Policy are applied for: • all employees in the understanding of Labour Law, consultants, interns and other people, who have access to protected information, • all existing, currently implemented or to-beimplemented IT and paper systems, in which protected information are or will be processed, • all paper, magnetic or optical storage means, which contain or will contain protected information, • all locations – structures and rooms, in which protected information will be processed. “Rules of Information Security Management” document defines: • goal and scope of management, • general security rules, • classification of information (limited, public), • access to protected information, • management of protected information processing, • security requirements for information processing systems, • rules on dealing with crisis situations, • management of information groups users, • information security management structure, • rules for delegation of roles, • rights and obligations for roles in controlling (security) department, • rights and responsibilities for roles in administrative (management) department, • reference to byelaws, procedures, instructions and standards defining information management. Exemplary byelaws are: information protection byelaw, computer system user’s byelaw. Exemplary byelaws are important as they apply for all information users. They might be separate documents or one document, the model of which contains: • definitions of basic concepts, • scope of use of byelaw, • division and ownership of processed information, • list of protected information, • general rules for using information and their protection, • rules for protection of information in IT systems, • rules for using Internet for protected information processing, • rules for using information storage devices,

• rules for protected information processing on portable computers, • rules for protection of rooms in which protected information are processed, • rules of granting access to protected information, control of information protection, responsibility for breaking the rules, • declarations of keeping information confidentiality. Security policies for information groups result from legal requirements and define specific requirements concerning protection and processing of information from a given group (i.e. personal data, confidential information, stock-exchange information, etc.), requirements concerning access to a given group of protected information, as well as guidelines for creation of particular security instructions and procedures with regard to information groups. IT system security policy describes specific security rules for such areas as: access control, cryptography, IT networks, servers, workstations, network services, business users’ applications, portable computers, antivirus protection, monitoring and detection of security breaches and malfunctions, emergency plans and procedures for reconstruction of infrastructure, security audits and tests, new systems development and implementation. Security rules for IT system areas also define the needs and guidelines for creation of particular procedures and security standards. In the stage of establishing systems they take form of security assumptions. Standards are documents which describe configuration of particular elements of processing systems, such as: operation systems, databases, applications, telecommunication network, encryption and electronic signature. Standards are established in order to ensure appropriately uniform level of security of protected information processing systems. Examples of standards are model configurations of server, e-mail or user’s workstation. 4

IT systems security

With reference to strictly IT systems, in order to meet security requirements, standards such as ISO 12207, ISO 13355, ISO 15408, ISO 27000 series and codes


59

of best practices such as ITIL [19, 9] standard have to be used.

ability to deny having accessed the system and the use of system resources is documented.

The established security solutions, that is: formal rules, management organization and their technical implementation (including IT) must, without exceptions, apply the rules of best practices named above, which were, out of necessity, very synthetically characterized in Fig. 8.

Meeting the so-far mentioned rules of ensuring information security is a basis for evaluation of security management maturity. A model for that was proposed by the IT auditors association ISACA.

A properly constructed IT system should, regardless of form and character of information, fulfill three fundamental criteria: • ensure information security, • ensure security of providing services, • ensure authenticity and accountability of data and subjects. First criterion consists of the following elements: • information confidentiality – which means that the information are only accessible for the authorized persons, • information integrity – which means guaranteeing precision and completeness of information as well as methods of information processing, • information availability – which means ensuring that authorized users have access to information and resources connected with them always when this is necessary. Second criterion consists of the following elements: • reliability of systems – which means the system may be always counted on, is user friendly and “fool proof”, • integrity of systems – precision of system and methods and ways of information processing used in this system, • system availability – which means that authorized users are guaranteed access to system and its resources. Third criterion consists of the following elements: • Data indisputable – data which is stored in the system and accessed via the system is trustworthy and reliable, • Indisputable of subjects – which refers to precision of system-using subject identification and confirmation of his authorization to use information gathered in the system, • Settlement accounts of subjects – which refers to ensuring that authorized users do not have the

Ensuring information security is a part of activity which constitutes a response to the identified operational risk factors. Consequently, it is based on the rules characteristic for this more general issue, which draw significantly from the achievements of quality approach. Simultaneously, ensuring information security and, in many aspects, IT security, consists in specific rules. An approach to signalize these rules was made in this work. 5

References

[1]

Basel Committee on Banking Supervision -Sound Practices for the Management and Supervision of Operational Risk. 2003.

[2]

Basel Committee on Banking Supervision International Convergence of Capital Measurement and Capital Standards. 2006.

[3]

BBA, ISDA, RMA - Operational Risk: The Next Frontier. British Bankers Association, London 1999.

[4]

Byczkowski M., Zawiła-Niedźwiecki J. - Zasady zarządzania bezpieczeństwem informacji w ujęciu metody TISM [in] Zarządzanie rozwojem organizacji w społeczeństwie informacyjnym (Stabryła J. ed.). Studia i Prace Uniwersytetu Ekonomicznego w Krakowie, Kraków 2008, pp. 162-172.

[5]

Byczkowski M. - Metodyka TISM 2009. ENSI, Warszawa 2009.

[6]

Conrow E.H. - Effective Risk Management. Some keys to success. American Institute of Aeronautics and Astronautics Inc., Reston 2000.

[7]

Forystek M. - Audyt informatyczny. Infoaudyt, Zgierz 2005.

[8]

Główny Inspektorat Nadzoru Bankowego - Rekomendacja M. 2004.

[9]

Hiles A. - Service Level Agreements: Measuring Cost and Quality in Service Relationships. Chapman & Hall, London 1993.

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[15]

Maslow A.H. - W stronę psychologii istnienia. Rebis, Poznań 2004.

Szmyd J. - Bezpieczeństwo jako wartość [in] Zarządzanie bezpieczeństwem (ed. Tyrała P.), Wydawnictwo Profesjonalnej Szkoły Biznesu, Kraków 2000, pp. 112-119.

[16]

MiFID - Dyrektywa 2004/39/ EC, Rozporządzenie Komisji nr 1287/2006, Dyrektywa 2006/31/ EC, Dyrektywa 2006/73/ EC. 2004-2006.

Zawiła-Niedźwiecki J. - Ciągłość działania organizacji. Oficyna Wydawnicza Politechniki Warszawskiej, Warszawa 2008.

[17]

Zawiła-Niedźwiecki J., Soczko. M - Ryzyko operacyjne i jego szacowanie [in] Komputerowo zintegrowane zarządzanie (ed. Knosala R.), Oficyna Wydawnicza Polskiego Towarzystwa Zarządzania Produkcją, Opole 2008, pp. 604-614.

[18]

www.gloriamundi.org, 2009.

[19]

www.ogc.gov.uk, 2009.

[10]

Kendall R. - Zarządzanie ryzykiem dla menedżerów. Praktyczne podejście do kontrolowania ryzyka. Liber, Warszawa 2000.

[11] [12]

[13]

Mitroff I.I., Pearson C.M. - Zarządzanie sytuacją kryzysową. Business Press, Warszawa 1998.

[14]

Serewa M. - Metodyka zarządzania ryzykiem organizacyjnym przez jednostki administracji publicznej. Zarzadzanie Przedsiębiorstwem 2/2007.

Women Scientists in Gender Oriented Research

61

WOMEN SCIENTISTS IN GENDER ORIENTED RESEARCH

Jadwiga CHUDZICKA Faculty of Management Warsaw University of Technology, 02-524 Warszawa, Poland email: [email protected] Jadwiga CHUDZICKA WOMEN SCIENTISTS IN GENDER ORIENTED RESEARCH

Abstract: The aim of the article is to present and analyze the results of the questionnaire research performed in Poland between November of 2006 and February of 2007 as well as to discuss their meaning for product design and manufacturing management. The project aimed at clarifying the process of how the women scientists are engaged in technological and R&D response to the needs of women end-users. The study examined economic and socio-cultural factors that influence gender-specific end-user interaction with women researchers by comparing and analyzing gender equality in R&D in the case of agricultural implementations for rural applications. Keywords: gender-specific, end-user, R&D, GDP, product development process, Lisbon strategy.

1

Introduction

The article focuses on the issues of the general condition of scientific research in Poland with a special attention paid to the situation of Polish female scientists. Quantitative research was performed in the Polish Patent Office in Warsaw on the patents that involved women as well as questionnaire research among women in Poland in order to verify whether particular research and development institutes take into consideration the needs and requirements of the product final users. First and foremost, the answer to the following question was sought: „How are women scientists engaged in technological R&D responses to the needs of women end-users? The questionnaire distinguished several phases of product development and the questions concerned each of the phases. Therefore the discussed research might contribute to the improvement of R&D projects’ management and/or manufacturing of products at different stages from the testing phase, through the product usability development to the stage of final shape of the product. The following part of this chapter presents the structure of the article. It consists of 11 chapters. After the introductory chapter the scientific research expenditure in Poland analysis is presented (Chapter 2), with a special attention paid to agricultural sciences, due to the fact that most of the research presented in the article is based on the achievements of scientists from this area of science. Third chapter presents the Innovative Economy Operational Program 2007 – 2013, elaborated by the gov-

ernment in order to improve the innovativeness of Polish enterprises. Fourth chapter focuses on the approach and plans of enterprises in the difficult times of global economic crisis. Fifth chapter describes the situation of women in Poland with the consideration of the employment factor and awarded scientific titles. Sixth chapter presents the author’s research results on the participation of women in the creation of innovative products that were awarded with a patent in Poland. Following chapters include the description of the questionnaire research: the origin and genesis of the research is presented in chapter seven, short characterization of the research is presented in chapter eight, detailed research results are presented in chapter nine, summary and discussion on the results influence on the improvement of management is collected in chapter ten. Eleventh chapter consists of the literature sources for the article. Next chapter is characterizing the difficult situation of Polish scientists, based on the data from the GUS Central Statistical Office. 2

Science and technology in Poland

The impact of the science and technology development on the state of economy and quality of life of the society is recognized in Poland, similarly to most other developed and developing countries. However, the turbulent history of Poland, geo-political situation

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Jadwiga Chudzicka

as well as corruption, nepotism, increasing level of unemployment and many other causes contribute to the common lack of financial resources to finance science and technology adequately to the needs and potential possibilities. Table 1 presents the resource division on research and development activities. Research described below concerns mainly the agricultural sciences, therefore in order to compare with the totality of financial expenditures on R&D activities (see Table 1) the table 2 the employment and expenditures from this area are presented. Data collected in the table 2 indicates that more or less 1/10 of the total research and development activities expenditures are given to Agricultural Sciences. Values from Table 1 will be clearer when presented in relation to the gross domestic product (see Table 3).

Data from Table 3 indicate that approximately 0.6% of GDP is given to scientific research in Poland, whereas e.g. Japan this ratio is equal to 3,3%, it is even greater in Finland and Sweden has the biggest value of this ratio – almost 4% among 31 other highly developed countries [4]. This leads to a conclusion that science is heavily underfinanced in Poland. Great expectations are given to European Union. One of the directions of the Lisbon strategy, approved by the European Council in 2000, which Poland – and other EU countries – should realize, is the knowledge based economy. Successive governments in Poland declare considerable financial support for scientific research in modern areas of knowledge, especially the ones concerning innovation. It is possible due to a considerable financing provided by EU for Poland in the period of 2007-2013 for telecommunication and IT projects.

Table 1. Gross domestic expenditures on research and development activities (source: self elaboration on the basis of [7]) 1995

2000

2005

2006

SPECIFICATION grand total in million PLN TOTAL

2132,8

4796,1

5574,6

5892,8

Scientific and R-D units

1276,1

2449,6

2617,6

2839,1

2,8

13,8

25,8

33,6

Development units

292,9

791,6

1150,1

1171,4

Higher education institutions

561,0

1512,4

1760,3

1826,9

28,7

20,8

21,8

Science support units

Other units

---

Table 2. Employment and gross domestic expenditures on research and development activities in agricultural sciences (source: self elaboration on the basis of [7]) SPECIFICATION

1995

2000

2005

2006

Expenditures in million PLN (in current prices) 245,7

439,4

474,8

532,1

Agricultural sciences Employment (in full-time equivalents) 9257

8213

6494

6609


63

Table 3. Main research and development activities indicators (source: self elaboration on the basis of [7]) SPECIFICATION

1995

2000

2005

2006

0,63

0,64

0,57

0,56

55

125

146

155

4,9

4,6

4,4

4,3

2,9

3,2

3,6

3,5

Gross domestic expenditures on research and development activity (current prices): ratio to gross domestic product in % per capita in PLN Employment in R-D activities per 1000 economically active persons of which researchers

3

Innovative Economy Operational Program

Special Innovative Economy Operational Program for 2007-2013, which support investments in innovative ventures, was elaborated, in order to improve the innovation level of Polish enterprises. Priority includes projects from enterprises including implementation of self or purchased new technologies. Additional support for enterprises investing in R&D activity includes financing of expert advisory and consulting as well as investments necessary to undertake R&D activities that include preparation of enterprises to gain the status of research and development centers. Special support will be given to manufacturing and servicing enterprises for new investments with high innovation potential. In such case supported projects must include the implementation of modern technological solutions used worldwide not more that 3 years back. Activities will support new investments and advisory and training projects necessary for their realization. All enterprises can be the beneficiaries of the activities, including large enterprises (at least 250 employed people). Due to the special treatment of the SME enterprises sector it was assumed that 75% of the resources will be allocated into investment activities with high potential in this sector. Investments projects that use modern technological solutions in manufacturing and services, which lead to the creation of new or considerably improved products or services, will be supported. Moreover, as part of the investments, new organizational solutions that lead to the increase of productivity

and effectiveness (e.g. marketing, logistics, distribution, IT and management systems) will be supported as well as purchasing of required material, legal and immaterial assets necessary for organizational changes [3]. Our specialists are appreciated worldwide, especially the IT specialists, which led to the visit of Bill Gates (founder of Microsoft) and his plans to establish IT center in Poland. 4

Approach of enterprises in the time of global economical crisis

Poland noted considerable economical development in recent years. It was forecasted that such pace of development will continue in the following decade. However the global economical crisis emerged also in Poland, what let to the slowdown of the development and forced necessary savings in all resorts. This can lead to the increase of unemployment rate and decrease of expenditures - among others - for scientific research. Unemployment rate is currently rising. According to the Ministry of Labor it grew to 11,2% in March 2009 with relation to 10,9% in February of 2009. Research of Polish Chamber of Commerce performed in February of 2009 performed on the sample of 160 large, medium and small enterprises indicated that every fifth enterprise is willing to dismiss employees. At the same time 87% of enterprises share an opinion that currently we are witnessing the beginning of the crisis and are expecting the situation to be worse. Research results are collected in the Chart 1.

64

Jadwiga Chudzicka

Dismissions and investment limitations not considered

20,6%

Dismissions and investment limitations considered

42,5%

Investments will be limited

36,3%

Employees will be dismissed

18,1%

0%

10%

20%

30%

40%

50%

Chart 1. Enterprise questionnaire (source: self elaboration on the basis of Chamber of Commerce research results)

Nevertheless one can assume an optimistic approach towards this issue. Poland is one of relatively large countries – it takes ninth place in Europe according to its size and eight place according to population (38,6 million). Polish people do not have to extol but also there is no need for complexes because of its culture, history or present activities. It is a member of many important international financial, economical and military organizations such as the World Bank, European Union and in March of 2009 the 10th anniversary of NATO participation was celebrated. Therefore it is reasonable to assume that Poland will overcome the current crisis. 5

Social and economic role of women in Poland

Global social structure is dominated by men and women are playing a secondary role in it. During the seventies in the United States the concept of the “glass ceiling” was created, which meant an invisible barrier that separated women from reaching the highest career positions. “Glass ceiling” is a symbol of the visibility of the possible promotion with the simultaneous impossibility to attain it [9]. Another definition which is describing the mechanisms of women’s’ discrimination is the concept of the sticky floor, which relates to lowstatus jobs with no possibility of promotion – people performing such types of work are attached to the lowest level [9]. Such job positions include civil servants,

secretaries or dressmakers – jobs usually performed by women. Generally the issue of employment of women is not very positive. Table 4 collects the employment level in recent years in Poland. The ratio is calculated as the relation of employed people, 15 or over in given employment group, to the total number of people in the population. According to the statistics over 50% of the population in Poland are women. Over 31,4 million people are able to work, whereas there are 1,6 million women more than men1. These proportions are changing unfavorably for women when the employment gender-ratio is taken into consideration (Table 4); therefore unemployment is more painful for women than men. Data from the last periods is also not favorable for women, indifferent from the region of Poland they originate in. Here is an example of two regions distant form each other2. Małopolskie province in the February of 2009 had the domination of women in the group of unemployed – 54,4% (approx. 62 thousand). Slightly better indicator was noted in the opolskie province: 53,5% of unemployed were women and in the kujawsko-pomorskie in 2008 59,8% (approx. 65 thousand) of unemployed were women.

1

Data from Main Statistical Office for the IV quarter of 2007 according to [4]. 2 Source: [email protected].


65

Table 4. Employment ratio during 2005 -2007 (source: self elaboration on the basis of Main Statistical Office data [4]) 2005

2006

2007

Average during the year

IV quarter

Men

52,4%

54,1%

56,4%

57,4%

Women

38,6%

39,6%

41,5%

42,3%

Table 5. Number of titles of professor granted (source: self elaboration on the basis of [7]) SPECIFICATION

1995

2000

2005

2006

367

470

503

397

of which women

61

111

136

108

in the field of agricultural sciences

45

56

68

70

TOTAL

On the other hand, significant increase of the role of women in the economic, political and social life is being observed. Awareness of women about the job market situation and politics is increasing and many women organizations are created – even a political party of women was created – due to the fact that women are educated as good as men and they aim to get equal job positions and salaries as men. The fact that Polish women are more enterprising than women in other EU countries is optimistic. This is indicated by the number of women who start their own companies. Poland is one of the top countries in EU in this matter3. Polish women are not afraid to take risk and they start their own businesses - small service oriented but also large like the Polonia Theater (Krystyna Janda) or the Institute of Cosmetics (dr Irena Eris). Table 5 collects information about the number of scientific titles awarded to women in general and in the field of agricultural sciences (due to the character of described research). Data indicates that considerably lower number of women was awarded the professor title than men. In relation to the number of scientific titles in the field of agricultural sciences the biggest number of titles was awarded in 2006.

3

Chudzicka J., Wybrane aspekty globalizacji przedsiębiorstw, w: Wybrane aspekty Zarządzania Wiedzą w Przedsiębiorstwach Unii Europejskiej, Krupa T. (red.), Oficyna Wydawnicza Polskiego Towarzystwa Zarządzania Produkcją, Opole 2006, p. 77.

6

Participation of women in the creation of inventions for that apply for patent

Polish women are not only involved in performance of simple jobs like services but also many educated women are managers and participants of research and development activities that increase the innovation level of enterprises. Results of their work are usually a source for patent applications. Patent office does not prepare statistics on the participation of women in patent applications. Main Statistical Office also does not provide such information. That is why the author of this paper performed hard work in the main Patent Office in Warsaw, where the names of all female patent creators and co-creators accepted in Poland during 2001 2004 were listed [11]. Female patent project managers were of the highest interest for the author. Unfortunately patent applications do not have the information about the patent project manager. The order of listed names in a patent application was entirely up to the project team. There are some project teams with a single female in the top of the name list and others with several women in the list in random order. Statistical calculations do not include recent years, even though patent applications with female participants are filed in every year. However the time to evaluate the patent application lasts usually from 5 to 7 years. Even some applications are present that are not yet evaluated, even though the application was pro-

66

Jadwiga Chudzicka

vided in 90ties (usually cases that have the legal aspects not clear). Presented data collection shows data concerning published patents and reveals all women creators and co-creators. Therefore this information shows the number of Polish women who created or participated in the creation of patents, but does not indicate how many of the women single creators and managers of patent projects are. In order to check who the patent project leader was one would have to contact each and every team, what seems practically impossible.

the gender of the applicants. For example it is hard to evaluate whether Idris is a male or female name. Such problem was encountered three times in the analyzed data. Table 7 collects the number of patents with the unspecified gender of the applicant. For example tables 8 and 9 present data about applied inventions and granted patents as well as the information about the utility model applications (without specified gender of the applicants) based on the data from the Main Statistical Office. However, when comparing data from tables 6 and 7 with table 8, one can see that in 2004 the number of women participating in granted patents is the highest, what leads to a conclusion that Poland has more female inventors every year.

Table 6 collects all the patents applications accepted by the Polish Patent Office 2001-2004, which included women as participants. One of the difficulties in gaining this data is that the Patent Office dies not provide information about

Table 6. Number of granted patents with female participants (source: self elaboration) Year 2001

2002

2003

2004

302

316

256

419

number of patents, in which women participated

Table 7. Number of patents with the unspecified gender of the creator/co-creator (source: self elaboration) Year

number of patents with the unspecified gender of the applicant

2001

2002

2004

1

2

5

Table 8. Domestic inventions and utility models in 2000-2004 (source: self elaboration on the basis of the data provided by the Main Statistics Office [7]) Year Patent applications Patents granted Utility model applications Rights of protection granted

2000

2001

2002

2003

2004

2404

2202

2313

2268

2381

939

851

834

613

778

1274

1057

865

732

648

680

484

558

666

894


67

Table 9. Domestic inventions and utility models in 2005-2007 (source: self elaboration on the basis of the data provided by the Main Statistics Office [4]) Year

2005

2006

2007

Patent applications

2028

2157

2392

Patents granted

1054

1122

1575

Utility model applications

600

625

604

Rights of protection granted

829

869

605

Data in table 9, in comparison with the data from previous years (Table 8), indicate that the ratio between patent applications and granted patents has increased over half of the applications were granted with a patent. Information in tables 8 and 9 indicates that that the number of rights protection granted in 2004-2007 is higher than the number of applications. The most probable cause is the delay in granting these rights, therefore some of the right protections can relate to cases originating before the year 2004. One of the main issues that the inventors fight with is the transfer of scientific inventions into business practice. Therefore there are many active initiatives to improve this situation. One of such examples can be a conference organized in 2007 by the Enterprising Poland foundation and Independent Students Union from Warsaw School of Economics “Innovators – the program of transferring the science into business practice”. The main topic of the conference was to determine how to allow and effective and profitable transfer of knowledge into practice beneficial for the enterprises and the society. Following part of the article questionnaire research results, which was performed among women scientists in Poland from November of 2006 and February of 2007, are presented. 7

Background

In January 2006, the project Women Scientists in Gender-Specific Technological R&D – How do Women Scientists in Technological R&D Respond to the Needs of Women End-Users? (WOSISTER) was launched with support from the European Commission. The project aimed at clarifying the process of how women scientists engaged in technological R&D respond to the needs of women end-users.

The study examined economic and socio-cultural factors that influence gender-specific end-user interaction with women researchers by comparing and analyzing gender equality in R&D in the cases of two technologies – agricultural implements for rural application and teleservices - and in two transition economies Poland and China [2]. As part of this project, questionnaire research was performed among women scientists in Poland, November of 2006 and February of 2007, mainly from the fields of Agricultural Sciences and Telecommunications; as well as few scientists from different areas of knowledge. Author’s research concerned specialists form the field of Agricultural Sciences. Listed project includes results for both Agricultural Sciences and Telecommunications, although this paper focuses in detailed results and their analysis in different scopes as well as the conclusions of the author based in the interviews with women agricultural scientists and ladies who, despite working in institutions connected with agriculture, indicated their specialization as „other”. Selection of the respondents for the designed questionnaire was not an easy task. Information displayed in the Polish scientific websites, which seemed to be the best solution for this type of research was usually incomplete, outdated and included information only about scientists with the Ph.D. title at least. It was extremely difficult and time consuming to search for information about companies who employ women scientists and get some contact information hoping that the selected respondents will be kind enough to answer the questionnaire. Some of the responses did not include filled in questionnaires. Sometimes the responses were a tough lesson of humility, due to the fact that some of the answers included unpleasant comments. In one case a respondent did not like one expression in the questionnaire, even though it did nit influence the understanding and results of the research.

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On the other hand there was a respondent who was enthusiastic about the research and provided all necessary answers. Some of the respondents required some proof and identification for the questionnaire what indicates that the women were not willing to provide answers to an anonymous interviewer. It was one of the reasons for a strong engagement in the collection of the responses by the author. Most of the questionnaires were delivered personally by the author to the respondents located in Warsaw. In some of the institutions employees were not allowed to fill in the questionnaire due to the policy of confidentiality. Fortunately such cases were not common. Most respondents were not keen on filling in the questionnaire so receiving the answers required much engagement, encouragement and persuasion. Moreover the author tried to thank every respondent e.g. via e-mail.

9

Results of a questionnaire survey

9.1

Sample characteristics

Before starting to analyze the results of the merit part of our survey one has to look at the structure of our sample from the point of view of characteristics of respondents. One of the questions required to estimate the age group. Chart 2 presents the quantitative result and the percentage of each age group4.

Despite the hard and time consuming work, the author managed to collect a relatively high number, in the limited field of the research, of 100 responses with questionnaires. The following chapter describes shortly the questionnaire research. 8

Characteristics of the questionnaire research Chart 2. Number of respondents in particular age groups (presented in numbers and percentage)

The survey has been run on the sample of 82 women researchers working primarily on the fields of Agricultural Technologies. Research was performed at universities, research and development institutes and agricultural companies in Poland. The purpose of this questionnaire was to carry out a quantitative analysis of how, and at what stage of the R&D process, interaction between end-users and researchers take place. In other words, how are customer preferences integrated into the product development process? The questionnaire mainly consisted of multiple choice simple questions. There were also provided possibilities for comments to each question, in case somebody wished to clarify his position. However, not many of the respondents provided comments in written form but rather in the form of remarks in discussion.

Chart 3. Type of employer (number and percentage of people employed in particular institutions)

Results in the chart 2 indicate that the majority of the respondents were qualified in three age groups. Percentage in all of these groups was similar. Relative4

All charts and tables in the chapter 9 are author’s elaborations.


ly small group were young women (under thirty years of age) and women over 60. Most of our questionnaired women worked either in Public Universities or in Research Institutes (see Chart 3) and it seems to more or less mirror the actual structure of employment of researchers in Poland. Questionnaire respondents were also asked to indicate their scientific title. Chart 4 presents the number of people with the title of M.Sc., B.Sc. and Ph.D. It the last case also people with additional titles and degrees are taken into consideration e.g. professor title or the post doctoral degree. Results are presented in percentage and quantitative.

Chart 4. Scientific degree of questionnaired women (in percentage and quantitative)

People who had high influence on the created upcoming projects/products were of special interest. Therefore the author had asked whether there were any people, currently or in the past managing projects, among the respondents. Results are presented in percentage and quantitative in the chart 5.

69

between 31 and 60 years and scientific degree of Ph.D. (wit a relatively large group of professors), place of employment – public university or research and development institute, experience in managing at least one project. With all the factors considered it is possible to state that our questionnaired women where competent enough to treat their answers as reliable. 9.2

General integration of user’s perspectives at institutions

At first we look at the institutions our respondents work for. For the purpose of this study, we have divided the process of developing and bringing a product to the market into three broad phases: • the research phase (the discovery of new knowledge), • the product development phase (developing the technical functionality of the product), • the design phase (modeling, shaping and redesigning the product). Questionnaire concerned the activities of the respondents in particular phases of product development. The question was as follows: In the work at your institute/department, do you integrate user preferences by consulting with or receiving any kind of feed-back from prospective end-users, either directly or through other types of market research studies: • in the research phase? (answers in percentage and quantitative are presented in the chart 6), • in the product development phase? (answers in percentage and quantitative are presented in the chart 7),

Chart 5. Project leaders (in percentage and quantitative)

It is easy to see that the majority of respondents have a Ph.D. degree and 2/3 of them had experience with project management. If particular values from the charts 2, 3, 4 and 5 are compared, one can conclude that the typical features of the respondents were: age

Chart 6. Integrating user preferences in the research phase

• in the design phase? (answers in percentage and quantitative are presented in the chart 8).

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Jadwiga Chudzicka

work for are not very often distinguishing preferences of males and females when interacting with end users and then, consequently, when working on their products. Answers to the question: Does your institute / department distinguish between male and female preferences in the interaction with end-users (e.g. in end-user consultations by focus groups or/and demand surveys)? are presented in the chart 9. Chart 7. Integrating user preferences in the product development phase

Chart 9. Distinguishing between gender preferences when interacting with end-users Chart 8. Integrating user preferences in the product design phase

It seems that most of our respondents at least try to incorporate the end-users preferences into the agenda of their research. In all phases of product development the answers “often” or “always” were in the scope of 60 to almost 70 percent (see Charts: 6, 7, 8). Almost 70% of respondents declare that preferences are often or even always observed even during the initial phase of the work on the product – the research phase; a little bit less during the product development phase and the least of all (but not a few – about 60%) during the design phase. This may be explained by the fact that large number of our respondents seem to work in institutions where mainly the initial research is performed (universities). 9.3

Distinguishing male/female preferences in the interaction with end-users

Unfortunately, from the point of view of the main subject of our research, the institutions our respondents

As much as 72% of institutions never take into account gender differences, 7% take it into account at least sometimes, 15% of respondents reckon this question is not applicable for their institutions and only 6% of institutions take it into account often or always (see Chart 9). Respondents who have not answered „never” in the previous question were asked the following question: Have these end-user consultations indicated differences in end-user preferences with respect to gender, i.e. do you get significantly different results from men and women? According to the expectations of the author this question was answered by 23 respondents (sum of answers other than “never” - see Chart 9), of which only in 6 cases the respondents claim that consultations with end users indicated for differences in preferences between women and men. No such differences were discovered in the rest of cases. Result in percentage is presented in the chart 10. Answers to the following question were expected from respondents who have provided positive answer to the previous question – it concerned 6 respondents.


71

Table 11. Phases of aiming products at specific gender Number of answers

Chart 10. Differences in male/female preferences of the end products

Special attention was paid to the fact, whether differences in male/female preferences of the end products were spotted, what have been the practical consequences, if any, for the R&D and design process?

During the research phase

3

During the product development phase

1

During the design phase

2

The respondent, who has filled in all three options in the answer for the previous (Table 10), has indicated the most relevant research phase in the last question – the earliest phase. Other respondent, who has selected only one answer in the previous question (Table 10), selected only the option: “product(s) aimed primarily at women”, answering the last question as the design phase, what suggests that such product aimed at women will be created or is already created. It can be a ray of hope for the ladies.

This question allowed multiple answers, that is why the number of answers could be greater than six – it was necessary to indicate the gender at which the products were aimed. Collected answers are presented in the table 10. Of 8 answers, there was 1 case of resulting products targeted primarily on men, in 2 cases the results of consultations resulted in products directed primarily for women, in the rest 5 cases the resulting products were targeted at both sexes. Table 10. Products aimed at particular gender and gender neutral

Chart 11. Meaning of consultations with end-users

Number of answers Product(s) aimed primarily at women

2

Product(s) aimed primarily at men

1

Product(s) aimed at both sexes (=)

5

In the answer for the question: If products aimed specifically at women or men were developed, at which phase(es) were they made gender-specific? multiple selections were also possible what affected the results collected in table 11.

Next question concerns respondents who have answered “never” in the question: Does your institution distinguish male and female preferences during the contacts with end-users? – there 59 answers to this question (results are presented in chart 9). It was meant to check whether, despite of negative answer, a researcher think consultations with end-users could have had any practical consequences for the development of the product(s). This question had 19 positive answers and 40 negative answers. Answers are presented in the chart 11. Therefore every third woman believes that consultancy with an end-user would have influence on the type of created product. The following part of the paper presents the personal experience with gender-specific projects of question-

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Jadwiga Chudzicka

naired women, their participation and/or interest in gender oriented technological R&D. 9.4

Personal projects

experience

with

specific (see Chart 12). Only 13 of respondents (somewhat less than 16%) claimed that 50% or more of projects in their institutes had been gender-specific.

gender-specific Table 12. Other answers in the question about genderspecific products/projects

This part of the questionnaire was aimed at personal experience of women – scientists with gender-specific projects. The following question was asked: In your experience, approximately how many of all product development projects at your institute/department have been gender-specific (i.e. aimed at either women or men)? Respondents were to determine the relevant, in their opinion, level. Reached results are presented in chart 12. Apart from the values presented in the chart there were a small number of other answers that are collected in the table 12. Only 68 of 82 respondents decided to answer the set of questions concerning the total share of genderspecific projects in their institutes. Of that 42 respondents (almost 2/3) declared that none of projects implemented by their institute has ever been gender-

Number of answers Not applicable

1

Information not available

1

Lack of an answer

12

Those who declared existence of gender specific projects in their institutes have also been asked how many of them had been targeted at females. Out of 61 respondents more than a half (38) could not remember any women-oriented project and only in 8 cases (13%) the share of such projects in total number of genderspecific projects has been not less than 50% (see Chart 13).

Chart 12. Percentage of gender-specific projects and the number of answers


73

Chart 13. Percentage of projects aimed specifically at women and the number of answers

Similarly to previous questions some of the respondents provided non-standard answers that are collected in the table 13.

Table 14. Number of initiatives of the respondents Number of answers Aimed at women

Table 13. Other answers in the question about products/projects aimed at women Number of answers Not applicable

3

Information not available

2

Lack of an answer

16

Including the nonstandard answers it is possible to claim that not 13% but approximately 10% of respondents indicated that at least 50% share of female oriented products in total number of gender-specific projects. Such information is certainly not comforting for women. The focus of the author was also on the fact whether the respondent showed interest and initiative towards projects/products aimed at specific gender. The question was: Have you ever personally proposed to management (or equivalent) a product development project aimed at a specific gender? Answers included several variants of answers according to the number of projects. Reached results are presented in table 14.

No

Aimed at men

75

Yes, 1 project

3

0

Yes 2-5 projects

1

1

Yes >5 projects

0

0 Other answers

Not applicable

1

Lack of an answer

1

Large majority of our respondents have never proposed to their management any gender-oriented projects – 75 (almost 94%) out of 80 of those who decided to answer this question. Additionally one person reckoned this question as “not applicable”. It means that only 5 persons (6% of all who answered) have ever proposed any gender-oriented project(s). Out of that: 3 have proposed one project (aimed at women) and 2 persons proposed 2 - 5 projects (aimed at women or at men). No one has ever proposed more than 5 projects. In case of this question the proportions are in favor of women.

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Table 15. The acceptance rate of proposed projects (W – Women, M – Men, Resp. - Respondent)

Projects primarily aimed at:

Resp. 1

Resp. 2

Resp. 3

Resp. 4

Resp. 5

W

W

W

W

W

M

+

+

M

M

M

M

0 (all turned down) 25%

+

50% 75%

+

100% (all accepted)

The following question: “What has been the acceptance rate of your proposed projects (i.e. what percentage of the projects was approved by management to be initiated)?” was aimed at respondents who showed initiative in gender-specific project application. Multiple variants selection was possible in this question. Reached results are presented in table 15.

+

+

+

cipated”. Results in percentage and numbers are presented in the chart 14.

Information in table 15 concern 5 people, who have responded positively on the previous question, whereas there was more than 5 submitted projects. Table 15 presents the acceptance level for these projects – forwarding the projects to realization. Gender oriented projects submitted by our respondents have mostly been accepted by decision making bodies (see Table 15). In 3 out of 5 cases all the proposed projects directed at females have been accepted for implementation. In case of male oriented projects the acceptance rate was 50% in 1 case and 75% also in 1 case. One can conclude that although in general gender oriented project were relatively rarely proposed by our interviewees, but as soon as they were submitted most of them have been accepted for implementation by managements of related institutions. Obviously, taking any conclusions one has to remember that we operate on very small samples here, so the resulting potential mistakes are huge. Next question deals with personal participation of the respondent in the gender-related technological project. The question was: “Have you ever personally participated in a technological R&D project aimed at a specific gender?” – the emphasis was put on the word “parti-

Chart 14. Participation in a technological R&D project aimed at a specific gender

Vast majority of our interviewees have never participated personally in any gender oriented project. Only 11% of those who answered the related question (9 of 82) have ever done so. On the other hand however these projects seem to have been relatively successful (see Table 16). Taking into consideration the answers for particular acceptance levels (Table 16), chart 15 presents the percentage of projects resulted in a marketable gender specific product. For 15 cases for both male and female oriented projects over 2/3 were at the acceptance level of at least 50% (see Table 16 and Chart 15).


75

Table 16. The acceptance rate of proposed projects (W – Women, M – Men, Resp. - Respondent) Resp. 1 Projects aimed at:

W

M

Resp. 2 W

M

Resp. 3 W

M

Resp. 4 W

M

Resp. 5 W

M

+

25% +

M

W

M

+

Resp. 8 W

+

+ +

75% 100% (all successful)

W

Resp. 7

M

Resp. 9 W

M

+

0 (all failed)

50%

Resp. 6

+

+ +

+

+

+

+

+

Chart 15. The acceptance rate of projects resulted in a marketable product

The last question in our survey concerned the willingness of women researchers to propose a gender oriented project in their field of research (Chart 16).

Chart 16. The share of respondents ever thinking about proposing a gender oriented project in their field of research.

10

Research result summary

Out of total 82 respondents who decided to answer the related question 18 (almost 22%) of them has ever thought about suggesting any gender oriented project in their field of research (see Chart 16). This is not a bad result and a good forecast for the future, because the current state in particular institutions, in terms of gender oriented projects/products, is much worse (what was indicated by the answers to previous questions).

Thus far I have reviewed the general results of our survey. They indicate for general relative scarcity of gender oriented research and general lack of interest in such kind of research among the surveyed women researchers. On the other hand, it seems that projects that actually had been proposed in most of cases have been accepted by the management of related institutions. It seems also that projects that have actually been implemented have rather been successful.

In the next chapter summary of the research results and their analysis, in different scopes as well as their meaning for production management, will be presented. Moreover, the characterization of similar research performed among telecommunication scientists in Poland and China will be briefly presented.

In this section I would like to look how the participation experiences and the level of interest of our researchers in gender oriented projects depends on their (i.e. researchers’) selected characteristics. Hence I present our main results divided into three dimensions:

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the field our researcher work on, type of the employer and the age group. 10.1 Field of research The beginning of this chapter mentioned that the research was a part of bigger research that involved not only agricultural sciences. In general we have differentiated between 3 groups of respondents according to the field of their research: working in telecommunication sector, agricultural technologies and other sector. Majority of the questionnaires came from scientists from the field of agriculture. In order to briefly compare the results from particular sectors it would turn out that the general level of interest in end-users preferences was the lowest in telecommunication sector with the average frequency of consultations at all stages of the work on the product development was only slightly higher than “sometimes”. The research seems to be most often consulted with the end-users in agricultural technologies sector – the average indicator for this sector was rather high, meaning that end-users are predominantly “often” consulted. For other sectors, treated as the comparator group from the point of view of our research, the average indicator was between “sometimes” and “often”. • In telecommunication sector one observed also the highest number of “not applicable” answers at all analyzed stages of product creation [10]: • 15% in research phase (with the second highest incidence of 5% for “other fields”), • 38% in product development phase (with the second highest incidence of 11% for “other fields”), • 15% in product design phase (with the second highest incidence of 11% for “other fields”). The rest of results of our survey broken by fields of research lead us to even more acute observations (see Table 17). It seems that gender specific projects are neither existing nor interesting in telecommunication sector. Obviously one can claim that such severe results are a consequence of very small number of observation we managed to gather for that particular sector. But one can also suspect that high refusal rate we encountered during our survey for this sector is a consequence of actual scarcity of gender dimension in this field of research. The situation seems to be more optimistic from the point of view of our research in case of those working

on agricultural technologies. It seems that there exists some interest in gender specific projects in this sector and mostly it is at least not smaller than in “other fields” treated here as a comparative group. 10.2 Type of Employer Interesting results can also be obtained dividing our analysis according to the type of employer. Most of our respondents work either for Public Universities (53%) or Research Institutes (37%) and these will be the main objects of our comparisons. Some work also for Other Institutions (7%), only 3% of them work for Private Universities (see Chart 3). It is important to mention that part of the respondents had more than one job position; therefore table 18 includes the workplace which was listed as first (main). Selected results of survey divided by type of employer (institution) are collected in table 18. It seems natural that on average user preferences are most often taken into account by research institutes, since creating of new products is the main objective of their research (Table 18). The answers for all stages of product creation were mostly “always” and a little bit less answers were “often”, meaning that on average user preferences were monitored more than often. The answers for public universities were mostly “often” and a little bit less answers were “sometimes” and more or less 16% respondents indicated “always”, so on average user preferences were monitored near “often” options for all stages of product creation. It seems also that research institutes more frequently differentiate between gender preferences than public universities do (see Table 18 row 2). On the other hand however those working in public universities much more frequently admit that consultation on gender preferences could result in practical consequences for products developed (see Table 18 row 3). Gender specific projects are much more frequent in public universities than in research institutes (see Table 18 rows 4 and 5) which, taking into account the result concerning differentiating between gender preferences, comes as a small surprise. On the other hand however researchers working for the latter have much wider personal experience of working in gender specific projects (see Table 18 row 6).


77

Table 17. Selected results of survey broken by field of research questionnaired women are engaged in (source: column 3 - the author’s calculations based on survey results; column 4 - [10]) 1

3

4

Agricultural technologies and other fields (without telecommunication)

Telecommunication

13%

0%

32%

0%

Average percent of gender specific projects in respondent's institution.

15%

0%

Has ever proposed to management a gender specific project?

6%

0%

11%

0%

22%

0%

Distinguishing between male and female preferences. Do you think that consultation on gender preferences could lead to any practical consequences for your research?

Has ever personally participated in any gender specific project?

2

Percent of affirmative answers.

Percent of affirmative answers

Has ever thought about proposing a gender specific project?

Table 18. Selected results of survey broken by type of employer (institution) our respondents work for (source: the author’s calculations based on survey results)

Research Institute

Public University

15,6%

11,1%

15,6%

26,7%

Average percent of gender specific projects in a respondent's institution.

8,3%

16,9%

Has ever proposed to management a gender specific project?

3,1%

6,7%

6,3%

2,2%

21,9%

17,8%

Distinguishing between male and female preferences. Do you think that consultation on gender preferences could lead to any practical consequences for your research?

Has ever personally participated in any gender specific project? Has ever thought about proposing a gender specific project?



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Jadwiga Chudzicka

Table 19. The views of women researchers on gender oriented research depending on age of respondents (source: the author’s calculations based on survey results)

Do you think that consultation on gender preferences could lead to any practical consequences for your research? Has ever proposed to management a gender specific project? Has ever personally participated in any gender specific project? Has ever thought about proposing a gender specific project?


Age group:

=61

17%

39%

19%

20%

0%

17%

4%

14%

0%

0%

17%

0%

14%

8%

0%

17%

26%

33%

16%

0%

The share of those who do not have personal experience in gender specific projects but still ever thought to suggest such a project is quite big in both kinds of institutions, but bigger in research institutes (see Table 18 row 7).

result indicates that these respondents were never offered any gender related project. This leads to a conclusion that such research and projects were of small importance in the early years of the respondents from this age group.

These results seem to suggest than in more product and client oriented institutions such as research institutes where gender specific issues are more frequently taken into account when working on new products the incidence of gender oriented projects is lower than in more theory focused public universities. The level of interest in gender specific projects among the women researcher is however higher in more practically oriented research institutes.

The worst situation takes place in the age group over 60 years of age. None of female researchers above the age of 60 has ever either proposed or personally participated in any gender oriented project. They have never thought about such a project and they do not think that any consultations on gender specific issues could results in any practical consequences for R&D work they are engaged in (see Table 19). This confirms the earlier assumptions about the lack of interest in gender oriented research in previous years.

10.3 Age 10.4 General conclusions The attitude of women researchers towards gender oriented research also varies with age. Results indicate (see Table 19), that, in all deliberated aspects, the youngest age group ( and < Z6, Zφ3 > couples. Event graph vertexes shown in the Fig.6 connect the events not indicating the relations between them. In most cases these relations can be correctly interpreted with the analysis of the event graph, although this type of activity does not guarantee the synonymy in case of an attempt of defining the correctness of the event graph. For this

purpose event dispersion and concentration constraints, for alternative and synchronous events, are laid upon the graph vertexes. As a result the graph vertexes are changed with dispersing and concentrating knots of alternative and synchronous events. Series and cyclical events do not have to be distinguished in order to assure the synonymy of the event sequence interpretation. During the transformation of vertexes into knots, vertexes that connect more than one preceding event with following event are changed with two knots – first knot is concentrating and the second one is dispersing. One of the particular events of vertex transformation, connecting series events with cyclical events, into concentrating and alternative knots is presented in the Fig. 7. Introduction of concentrating knot V> and dispersing V< led to the necessity of introduction of a fictional (empty) event Zφ’. In this new situation the cyclical event Z5* will be replaced with complex event Zφ’ ∧ ( Z5 ∧ Zφ’ )*. It is easy to spot that both expressions are equivalent in relation to produced events: Z5* produces empty | Z5 | Z5 Z5 | Z5 Z5 Z5 | Z5 Z5 Z5 … Zφ’ ∧ ( Z5 ∧ Zφ’ )* produces empty | Z5 | Z5 Z5 | Z5 Z5 Z5 | Z5 Z5 Z5 …

Figure 6. Event graph for regular expression

Events and Event Processes

149

Figure 7. Transformation of vertex in to a concentrating knot

4

Event knots

Alternative dispersive event knot connects one and only one event preceding event with one of many other following alternative events (see Fig. 8). If only one event takes place one speaks of a pair of series events – in such case the symbol V is not used. The condition of proper V knot functioning is the assurance of alternative activities for both dispersion and concentration of events. In the second case the condition of Zj event occurrence is the presence of one and only one event from the Z1, Z2, …, Zm event set.

It is important to mention that only the Z1, Z2, …, Zm events originating directly from the V< alternative connection are the alternative events. Synchronous knot of dispersing events connects one and only one preceding event with many other synchronous events (see Fig. 9). If only one event takes place one speaks of a pair of series events – in such case the # symbol is not used. Synchronous knot of concentrating events connects many synchronous events with one and only one following event. If the preceding event consists of only one event one speaks of a pair of series events – in such case the # symbol is not used.

Figure 8. Dispersing and concentrating alternative event knots

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Tadeusz Krupa

Figure 9. Synchronous knots of concentrating and dispersing events

The condition of proper # knot functioning is the assurance of synchrony of activities for both dispersion and concentration of events. In the second case the condition of Zj event occurrence is the presence of one and only one event from the Z1, Z2, …, Zm event set. It is important to mention that only the Z1, Z2, …, Zm events originating directly from the #< synchronous connection are the synchronous events. 5

Event sequences

Series event sequence takes place in a situation when the occurrence of following event is conditioned with the

occurrence of preceding event. Fig. 10 presents a sequence of four events Za, Zb, Zc and Zd that can be presented as symbols as follows: Za ∧ Zb ∧ Zc ∧ Zd Zd event happens only if it is preceded by the following Za, Zb and Zc events. Alternative series event sequence takes place in a situation when after alternative event dispersing knot V< at least two sequences of series events occur. Example of two alternative series event sequences can be recorded in the following way: [ Za ∧ Zb ∧ Zc ∧ Zd ] ∨ [ Ze ∧ Zf ∧ Zg ∧ Zh ]

Figure 10. Example of series event sequence


151

Figure 11. Example of alternative series event sequences

Figure12. Example of synchronous series event sequences

From both series sequences events from only one of them occur (see Fig. 11).

brackets, are compliant with the definition of cyclical event presented above.

The condition of proper alternative series event sequences functioning is the assurance of alternativeness of activities for both dispersion and concentration of events. In the second case all alternative series event sequences should be ended with V> concentrating knot of alternative events.

after alternative event dispersing knot V< at least two sequences of series events occur.

Synchronous series event sequence takes place in a situation when after synchronous event dispersing knot #< at least two sequences of series events occur. Example of two synchronous series event sequences can be recorded in the following way:

possible executions of this sequence are:

[ Za ∧ Zb ∧ Zc ∧ Zd ] # [ Ze ∧ Zf ∧ Zg ∧ Zh ] From both series sequences events from both of them occur (see Fig. 12). The condition of proper synchronous series event sequences functioning is the assurance of synchrony of activities for both dispersion and concentration of events. In the second case all synchronous series event sequences should be ended with #> concentrating knot of synchronous events. Cyclical event sequence takes place in a situation when performances of given series sequence, closed in (…)*

Figure 13 presents the example of cyclical event sequence recorded in the following way: ( Za ∧ Zb ∧ Zc )*

Zφ - empty event (lack of event) Za ∧ Zb ∧ Zc Za ∧ Zb ∧ Zc ∧ Za ∧ Zb ∧ Zc Za ∧ Zb ∧ Zc ∧ Za ∧ Zb ∧ Zc ∧ Za ∧ Zb ∧ Zc Similarly to the cyclical series events, alternative cyclical events are also possible: ( Z1 ∨ Z2 ∨ ... ∨ Zm )* and cyclical synchronous ( Z1 # Z2 # ... # Zm )* Their analysis and transformations are omitted in further deliberations. Detailed description of event operation properties is a part of event algebra.

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Tadeusz Krupa

Figure 13. Example of cyclical event sequence

6

Event nets

Event net is constructed from: • series event sequences, • alternative series event sequences, • synchronous series event sequences, • cyclical event sequences. Event net is a model of event processes. Its structure determines the execution of the processes, although the set of different process executions in case of cyclical events presence is theoretically a set of infinite size. All executions (processes) of the event net can be successfully presented if cyclical event sequences do not occur in the event net. Event net is a model of event processes, which allows describing the processes that are correct from the point of view of their realization. Definition and the correctness conditions of event processes in each case should be specified in the categories that guarantee the verification (validation) of the correctness of their performance. Figure 14 presents an example of event net with cyclical events sequences, alternative series event sequences and synchronous series event sequences, constructed on the basis of the regular expression event graph, presented in the Figure 6.

Processes in properly constructed event net (or in other words the executions in event net) should flow in a way that assures: • possibility to perform every event and every event sequence in the net at least once, • event net have one and only one distinguished starting event ZA preceding the execution of all other events and one and only one finishing event ZB that takes place after execution of all events that could be executed, • starting event ZA can be performed only in case when none of the other events in the net is not and cannot be executed in the net, • finishing event ZB in event net can only be executed as the last event process of this net. Conclusions presented above indicate that event net can be deliberated in two following situations: • net is not active – none of the events from the event net processes is executed and the net is waiting for the execution of the ZA starting event, • net is active - events from the event net processes are executed and the net is waiting for the execution of the ZB finishing. Event process is executed in the net through some of the cyclical event sequences and alternative series event sequences and within them through all areas of synchronous series event sequences.


153

Figure 14. Example of event net

Event net area with one and only one distinguished starting event and one and only one distinguished finishing event will be called the event subnet. The illustration of event subnet of the event net presented in the Fig. 14 is the fragments marked with the dotted line (all of six possible event subnets are presented in the figure). Main feature of such defined event subnet is the fact that it represents one event that consists of many internal events of this subnet.

Correct event net is a structure in which other subnets can be presented in the form of a single event representing the whole outgoing net. This informal expression requires a more detailed description and comments on the possible net transformations. Presented statement leads to the structural method of activity leading to the achievement of correct network. Structural method of proper event net also assumes that: • every process has one distinguished start and end, • processes can cluster in self for any depth,

154

•

7

Tadeusz Krupa

processes in the same depth connect with knots (dispersing and concentrating) connecting their starts and ends in a way that indicates the character of the relations between processes. Time lapse, conflicts and relations on event nets

Time lapse is an essential characteristic of all physical processes. Logical connections of the processes and secondly the time conditionings are present in many deliberations on process modeling. It is necessary to determine the coordinates and time lapse units in order to observe the process flow in time (time clocks of the modeled system).

Elimination of conflicts through tests can be extremely time-consuming and difficult, when the net has already been constructed. Synchronous series event sequences should start and end with dispersing and concentrating synchronous knots. According to the definition (symbolic or event net) synchronous events should not occur alternatively in synchronous concentrating knots. Alternative conflict of synchronous events should be prevented during the event net designing phase. Elimination of conflicts through tests, similarly to previous case, can be extremely time-consuming and difficult, when the net has already been constructed.

Time counting needs to consider the relations between time clocks in particular subnets in case of net decomposition into event subnet areas.

Tolerating alternative conflicts of synchronous events leads to the “pursuit of events” what equals to the loss of consistency between net structure and its functioning (event net stops being the process model).

Time in event nets flows „in waiting” for the happening of next events. The assumption is that the time of the event, understood as the change of state, is negligible. Event net is a scheme according to which new events occur after given time.

Connections consisting of events between any pair of events Zk, Zl in the net are called the event paths and marked as Zk→ Zl or in a shorter form as Zk→l, if a series of events leads from Zk event to Zl event.

Occurrence of events must synonymously relate to the net structure. Therefore the event net presented in Fig. 14 generates, for example, the following allowable event productions (sequences): empty | Z8 | Z8 Z8 | … | Z1 [Z3 Z4 ] # [Z2] Z7 | … Sequences of alternative series events should start and finish with dispersing and concentrating alternative knots. Proper structural rules need to be complied in order to assure these conditions during the construction of the net. Rules result from relations, which can occur between any two events in the event net structure. Analysis of possible event relations indicates that if some of them occur in certain configurations with other relations, they can become the cause of erroneous event processes. Alternative events, according to the definition (symbolic recording or event net), should not appear synchronously (e.g. at the same time) in alternative concentrating knots. Synchronous conflict if alternative events should be prevented during the event net designing phase.

If the path Zk→l leads from event Zk to event Zl and the Zl→k path leads form Zl event to Zk event than these paths create a cyclical path marked as Zk↔l for any Zx, Zy event pair on this path. Two events Zi, Zj with a common starting or finishing knot in an event net with single distinguished starting event ZA and single distinguished finishing event ZB, where the events Zi, Zj ≠ ZA, ZB, can create four special cases, of concentrating > and dispersing < knots and events related with them, in this net (see Fig. 15). Presented examples of dispersing and concentrating knots are the starts and finishes of event paths leading to and from these events. Any of two events in event net with single distinguished starting event ZA and single distinguished finishing event ZB, where the events Zk, Zl ≠ ZA, ZB, create the upper U and lower L alternative D and synchronous C event relation classes. These classes are marked as following: • upper alternative UD, • upper synchronous UC, • lower alternative LD, • lower synchronous LC.


155

Figure 15. Four special cases, of concentrating > and dispersing < knots and events related with them

Two events Zk, Zl of event net, which do not belong to the same series event sequence, belong to the upper alternative UD if paths from at least one dispersing alternative knot lead to them. Two events Zk, Zl of event net, which do not belong to the same series event sequence, belong to the upper synchronous UC if paths from at least one dispersing synchronous knot lead to them. Two events Zk, Zl of event net, which do not belong to the same series event sequence, belong to the lower alternative LD if paths from at least one concentrating alternative knot lead to them. Two events Zk, Zl of event net, which do not belong to the same series event sequence, belong to the lower synchronous LC if paths from at least one concentrating synchronous knot lead to them. 8

Forbidden and obligatory graph figures – structural conditions of event net correctness

Condition of event net structural correctness is the situation when any pair of events Zk, Zl of this net belongs at the same time to the upper alternative UD

and lower alternative LD class or only to upper synchronous UC and lower synchronous LC. Forbidden graph figures in the event net are the violation of structural correctness conditions of the event net. Figure 16 presents two forbidden graph figures (nonallowable) for the correctly constructed event net, which includes alternative and synchronous events. Obligatory graph figures of event nets are the realization of structural correctness conditions of the event net. Fig. 17 presents two obligatory graph figures (necessary) for the correctly constructed event net, which includes alternative and synchronous events. Presented analysis indicate that the correctness conditions of event nets can be formulated in many ways, although the determination of topological properties of the net and its possible subnets is always a starting point. These properties can be used as modeling and controlling tools of discrete processes. In some cases (see 9) the forbidden graph figures, as illustrated in Fig. 18, can be highly severe limitation for the net.

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Tadeusz Krupa

Figure 16. Forbidden graph figures in event net

Figure 17. Obligatory graph figures in event net


157

Figure 18. Example of event net that does not fulfill the correctness conditions expressed in the obligatory and forbidden graph figures

9

Continuations

It is easy to deduct that the net presented in Fig. 18 contains both obligatory and forbidden graph figures and according to p. 8 it does not fulfill the structural conditions of net correctness. Simultaneously detailed analysis of any of the four event pairs

< Zc, Ze >, < Zc, Zf >, < Zd, Ze >, < Zd, Zf > indicates that it is manageable and therefore the ZB finishing event is manageable. In this case we speak of four event pairs from which only one can be realized as a result of preceding synchronous execution of the two Za, Zb events.

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Tadeusz Krupa

However, if the analyzed event net (see Fig. 18) does not structurally guarantee the execution of at least one of the listed event pairs, than the ZB finishing event also would not be executed, what means the violation of net correctness conditions mentioned in point 8.

correctness that does not have to be proven or validated through tests. In research on this phenomenon the technical feasibility of the event is not crucial for the deliberations.

Presented abalysis indicates that the event net correctness conditions can be formulated in many ways, although the determination of topological properties of the net and its possible subnets is always a starting point. These properties can be used as modeling and tools of correct designing of organizational structure.

10 [1]

Bromirski J. - Teoria automatów. WNT, Warszawa 1970.

[2]

Gorbaov V.A. - Semanticeskaja teorija projektirovanija avtomatov. Izd. Energia, Moskva 1979.

[3]

Krupa T. - Kolorowana sieć Petri’ego i sieć transformując [w] Zeszyty Naukowe IOSP PW Organizacja i Zarządzanie Przemysłem. No. 15, Oficyna Wydawnicza PW, Warszawa 2002, pp. 5-24.

[4]

Krupa T. - Sieciowe modele procesów zdarzeń [w] Komputerowo zintegrowane zarządzanie (Ed. Knosala R.). Oficyna Wydawnicza PTZP, Opole 2006, pp. 55-66.

[5]

Krupa T. - Elementy organizacji. Zasoby i zadania. WNT, Warszawa 2006.

Research on discrete event nets have their obvious implications and modeling languages, such as Perti nets, transforming nets, event algebra and many more. The key is to apply such local functional limitations, which fulfilled by the net would assure its global functioning correctness – independent of process flow conditions. In other words, event net is a program (space) of its work and the event flow process is the execution of this program – if one uses an IT metaphor. The main success condition is the theoretical event net

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A Conceptual Framework for Formalization of National Innovation Systems

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A CONCEPTUAL FRAMEWORK FOR FORMALIZATION OF NATIONAL INNOVATION SYSTEMS Wojciech NASIEROWSKI Faculty of Business Administration University of New Brunswick Fredericton, NB E3B 5A3 Canada e-mail [email protected] Wojciech NASIEROWSKI A CONCEPTUAL FRAMEWORK FOR FORMALIZATION OF NATIONAL INNOVATION SYSTEMS

Abstract: The concept of National Innovation System (NIS) is explored from the perspective of its propensity for formalization. It is observed that there are problems with formalization (measurement) of NIS and consequently, deficiency in assessment of efficiency of pro-innovative ventures. Based on an overview of the literature, subsystems of NIS are identified and the leading topics within these subsystems are presented. Results of this study are believed to create the platform for formalization of NIS. Key Words: National Innovation System, formalization, measurement, efficiency

1

Introduction

An increase in the level of innovativeness and enhancement of benefits from this activity are important ingredients in fostering economic activity and boosting competitive advantage. Innovation augments productivity, and thus contributes to the increase of GDP and wealth of the citizens (e.g. [28, 56]). The ability of governments, businesses and individuals to identify, respond to, and especially to introduce progressive change is the bedrock of competitive ability (e.g. [32, 9, 38, 52, 54, 16]). The more practitioners’ perspective, taken at a micro-economic level, underlines continuous improvement in technology and business processes as vital to economic prosperity, thereby providing a strong incentive to invest in innovation [13, pp.133-140]. It should be noted though that innovation can be interpreted in different ways (e.g., [19, 50, 39, 41, 42, 44]). Further difficulties lie awaiting the researchers when they try to isolate means to stimulate creativity, as well as enhance innovativeness and entrepreneurship, along with attempting to improve economic performance of firms. And as if this is not enough, differences regarding interpretations are further amplified when micro and macro-economic perspectives are taken into account [45]. Innovativeness is not a new concept, yet issues of innovativeness are gaining more and more recognition. At the macro-economic level, innovation related efforts can be conceptualized within the concept of National Innovation Systems (NIS). There is no

single definition of NIS [47]1. Yet, NIS can be defined as “a network of agents and set policies and institutions that affect the introduction of technology that is new to economy” [11, p. 541]. Lundval [29] identifies two schools of thoughts in the literature about NIS. The first, prevalent mostly in the USA, tends to define innovation in a narrow sense by focusing on science and technology policy, and mostly analyzes the systemic relationships between R&Defforts in firms and organizations. The other school of thought looks at innovation in a broader sense and defines innovation as a continuous cumulative process involving not only radical and incremental innovation, but also the diffusion, absorption and use of innovation, besides science. Since its emergence as a topic in management literature in the late 1980s, the concept of NIS has undergone significant changes, and has been “further elabo1

.. the network of institutions in the public and private sectors whose activities and interactions initiate, import, modify and diffuse new technologies. Freeman [20] claims: .... the elements and relationships which interact in the production, diffusion and use of new, and economically useful, knowledge ... and are either located within or rooted inside the borders of a nation state. For Lundvall [29];... a set of institutions whose interactions determine the innovative performance ... of national firms. For Nelson [46]; .... the national institutions, their incentive structures and their competencies, that determine the rate and direction of technological learning (or the volume and composition of change generating activities) in a country [51]; ... . that set of distinct institutions which jointly and individualy contribute to the development and diffusion of new technolgies and which provides the framework within which governments form and implement policies to influence the innovation process. As such it is a system of interconnected institutions to create, store and transfer the knowledge, skills and artifacts which define new technologies [33].

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rated and theoretically underpinned in the early 1990s” [8, p. 5]. At the outset NIS served to define the key players related to innovation process and the scope of their activities. Works by Nelson [46], Lundval [30], Dosi, et al. [12] and Freeman [21] have not used a standardized structure of presentation of NIS, and have dealt with many countries independently, without an attempt to make cross-country comparisons. Key characteristic features of innovation processes and items that impact upon these characteristics have been determined. One of the lines of thinking about NIS has been directed towards the exploration of efficiency of NIS using parametric concepts. It is quite probable that if there are more Inputs there will be more Outputs, and therefore those who invest heavily may be considered more innovative. However, not only is the level of investment the key to success: efficiency of turning Inputs into Outputs also count. Several studies on the efficiency of organizations use the “best practice frontier” concept: the distance from such a frontier represents inefficiency -- the inability to produce maximum output from given inputs. Parametric approaches (e.g., regression methods) are used to estimate parameters of technical efficiency. However, many elements, such as multicollinearity, measurement error, and omitted variables, can weaken the precision of these parameter estimates [10]. Consequently, it may be more appropriate to depart from a cursory examination of a ratio of Inputs to Outputs (e.g., [15, 55]), and examine “best practice frontiers” using the nonparametric DEA. This means that the measure of technical efficiency (the Farrell Input Saving Measure of Technical Efficiency) is examined as the greatest proportion of inputs which can be reduced and still produce the same output [17], [18]. Several papers have reported results related to the use of this approach (e.g., [35, 43, 36, 38, 23]). According to Balazat and Hanusch [7, pp. 202-203] this approach can be regarded a new line of investigation of NIS that originated with works of Nasierowski and Arcelus a decade ago. NIS can also be regarded as a subsystem of the national economy where a variety of agencies cooperate, and impact one upon another when carrying innovative projects. Whereas descriptions of NIS are easily available, there is no uniformly accepted idea of how to isolate its subsystems. The questions of formalization of NIS and its subsystems, and interrelationships among these subsystems remains unans-

wered. These elements cannot be formalized and quantitatively examined. The same is true when the impact of the context of the operation upon the design of NIS is analyzed. The elements in thematic areas overlap, making reports on NIS, at times, redundant in terms of information content. Conclusions from such studies are difficult to quantify, as it is difficult to identify which solutions are correct, efficient and effective. All in all, the concept of NIS, albeit intellectually stimulating, remains as an abstract one and difficult to be interpreted from the perspective of daily operational activities. Thus, the objectives of this study is to explore the ability to ‘formalize2’ the selected aspects of NIS. In this paper (i) an overview of the concepts with regard to formalizing NIS will be presented, followed by (ii) a specification of NIS subsystems and their key discussion topics, and (iii) a suggested agenda for further studies. 2

Formalization of NIS: Current stock of experience

A model for investigation of NIS, in a more formalized manner, has been introduced by OECD [47], [48] 3 , and thereafter by Arundel and Hollanders [3, pp. 10-254], Lalkaka [255), Liu and White [276). Some leading policy themes have been identified, which can 2

Identification of subsystems of NIS, leading topics (motives) within these subsystems, and interrelations among these topics, are an entry point to formalization (and measurement) of NIS. 3 A new role of governments, building an innovation culture, enhancing technology diffusion, promoting networking and clustering, leveraging research and development, responding to globalization, learning from best practices (pp.63-68); and/or specialization in NIS, institutional profiles, linkages within and between NIS components (pp.21-48). 4 This model includes: promotion of Intellectual property Rights (IPR), commercialization of public research, R&D and innovation, collaboration, finance, Human Resources (HR), targeted technologies, general policy. 5 This model includes: S&T Policy, innovation strategy, technical human resources, technical support services, mobilizing financial resources, international cooperation (pp.2-3), as well as setting priorities and allocating resources, develop strategies for scientific research and technology development in public, university and corporate laboratories, build the technical HR for a knowledge society, strengthen the technical support systems for quality, information flaws and the common concerns of alleviating poverty, preserving the environment and defending the nation, a look outwards towards attracting investment and alliances. 6 This model includes: research, production, end-use (customers of the product or process outputs), linkage, education.


be regarded as a starting point to identify subsystems of NIS, and consequently as an entry point in its formalization. Some ideas regarding NIS subsystems, or leading discussion topics in examination of NIC can also be derived from comprehensive reports e.g., EIS [15 – years 2002-20097], trend Charts on innovation, OECD [48. pp. 108], as well as the Global Competitiveness Index [229]. Based on an overview of the above sources the following subsystems in NIS can be proposed: • governance of NIS (GNIS), • commercialization of research results (CRR), • human capital development (HCD), • support to innovativeness (SIN). These topics are consistent with the Lisbon Strategy [26] that is endorsed as a guide to scientific development of the European Union. These topics can be further explored within the subsystems and discussion topics presented in the next section.

3

National Innovation Systems: Subsystems and discussion topics

3.1

Governance of NIS (GNIS)

Productivity increases, largely resulting from innovations, which contribute to improved competitiveness and enhanced distinctive competencies of enterprises, are the key driving forces in boosting economic progress and standard of living. Consequently, governments structure systems that foster innovativeness. The key themes (motives) within governance of NIS include: • assumptions regarding innovation underpinnings; these items evolve around key strategic objectives, such as improvement of productivity and educational levels, improvement of competitiveness, de-

7

In EIS 2009 the following indicators have been used: human resources, finance and support, firm investments, linkages and entrepreneurship, throughputs, innovators, economic effects. 8 This report has emphasized: stable macroeconomic environment, a supportive tax and regulatory environment, appropriate infrastructure and education and training policies, removal of barriers to innovation in the business sector and increase in synergies between public and private investment in innovation. 9 The key groups of indicators used are: institutions and policies, human capacity, infrastructure, technological sophistication, business markets and capital, knowledge, competitiveness, and wealth.

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fining areas of specialization and their coordination with the macro-economic agenda, • institutions/agencies involved in innovations, their structure, relationships, and responsibilities: this set of topics discusses institutional arrangements behind pro-innovation activities; thus, governments set up institutions to deal with this issue, e.g., in the format of the Ministry of Economic Affairs, the Ministry of Education, Culture and Science, university systems, agencies, etc.; “Innovation performance depends not only on how specific actors perform, but on how they interact with one another as elements of an innovation system, at local, national, and international levels” [48, pp. 10], • control mechanisms regarding efficiency of innovation systems, its agencies and policies that may improve innovativeness levels, • promotion of innovation friendly environment, that deals with the atmosphere within which innovations evolve; this atmosphere can be impacted by governments through free flow of information, easy access to ICT, efficient protection of intellectual property rights (IPR) (patents, trade-marks, copy-rights, etc.), simplifications in conditions of running business, and anti-monopolistic regulations. 3.2

Commercialization (CRR)

of

research

results

The commercialization of research results means taking innovations from paper to realty. Whether for improvement of economy, monetary, social, or environment benefits, commercialization involves putting innovations into actual use. Research into innovative products, services and ideas is abundant, but without their application and effective use, these ideas account for nothing. Karlsson [24, pp. 83-85] claims that the following are of key importance: availability of private capital, ownership of research results, entrepreneurial skills, small business involvement, governmental programs, and commercialization drive at universities. The commercialization of research is paramount to the idea of NIS, and essential to any economy’s ability to compete globally.

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The following key topics can be discussed within this subsystem: • Collaboration (networking) between governmental institutions, research institutes and laboratories, universities and business (private sector and entrepreneurs), including issues of public vs private research. There are many players in a NIS, and unless they cooperate, no one wins. All the participants bring different assets to the table: governments - have capital; research institutions and universities - have knowledge; research - findings and people ready to work towards innovation; while businesses and entrepreneurs - have the ideas. Without the interaction and cooperation of all the involved parties, innovative ideas go nowhere. Whereas R&D mainly means inventions, business R&D means the ability to develop business practices that allow innovation to be more easily commercialized. Thus, the link between public and business types of involvement, and collaborative links between such institutions that deal with the flow of money should be explored. • Encouraging technology and knowledge transfer to firms, and the development of innovation clusters. In order to see innovations become successful, businesses and entrepreneurs need access to information, technology, legal services, etc. As well, there is normally the need for the private capital to support innovative ventures, and the clarification of ownership rights (e.g., Baye-Doyle Act). Involvement of SME and development of entrepreneurial skills are desirable (e.g., [24, pp. 83-85]. This is critical for innovations to reach the application stage. • Support to targeted technologies and specialization patterns: this sub-topic emphasizes the need to focus strengths on what a country does best, or what it believes will bring successes. Similarly, some claim that investment in lagging areas is likely to be more efficient [53]. Innovation should be efficient and effective, and for a country with an existing competitive edge, applying innovations in areas that are weak vs. strong could mean the difference between a lagging economy and a real competitive advantage. 3.3

Human capital development (HCD)

Human Resources within the NIS context may be defined as individuals and their groups, mainly in the

work-force, who have direct or indirect impact upon innovativeness. These individuals are not limited to scientists, engineers, and technologists, but also include, administrators and support staff, who facilitate innovation process. Issues of HR within NIS context also include regulations and policies that impact upon attitudes, knowledge and skills of people, and their availability for economic activities: • investment in the quality of human resources for innovation: this sub-topic is crucial because without quality human resources it is not possible to move forward with innovations; to this end it is important to identify means used to enhance capabilities of people, • efforts to increase the number of people in science, engineering and technology (SET) areas: SET is pivotal to innovations, and there is an anticipated shortage of people entering these fields; within this sub-section aspects related to the number of graduates entering SET careers, expenditures on education, education standards (as measured by achievements in mathematics, for example) can be explored from the viewpoint of NIS policies and activities, • job creation, retention, and reducing unemployment: this topic explores actions taken by governments and companies that allow efficient use of available human capital, • means to improve labor productivity issues that deal with the activities which may contribute to the increase of labor productivity, which is normally positively correlated with improvement of quality of outputs, and enhancement of innovativeness. 3.4

Support to Innovativeness (SIN)

Financing innovation is about putting in place programs, funds, and tools that allow the stimulation of innovation. This is done in many ways: direct financing, support of governmental research institutes, grants, access to research infrastructure, and institutionalizing policies that allow innovation to flourish. The following topics are here frequently discussed: • direct support to innovativeness, such as: grants, loans, direct support to finance R&D and no-R&D innovations, tax reductions for pro-innovative projects, subsidies for buildings/infrastructure for innovation activities, subsidies for acquiring machinery, equipment, software, funding R&D, tax


reductions for innovation expenditures other than R&D [3, 4, pp. 27], • indirect support to innovativeness in the form of: trade fairs, trade missions, information on market needs, training, seminars, legislative arrangements, support to the development of research infrastructure (including ICT), innovation and science parks, technology incubators, information and research infrastructure, creating motivation and incentives for businesses, supply of PhDs in SET, support to new-technology-based-firms, regulations regarding ownership of proprietary rights, simplification of access to private (venture) capital, etc.; these items are crucial, because without ideas, money and innovations the economy cannot become competitive, • accounting and legal practices that stimulate/hamper innovativeness; to be noted beyond an inflow of funds that support innovative activities, such activities can be stimulated (or confined) by non-financial arrangements; this deal for example with accounting rules that may classify an activity as R&D. 4

Concluding remarks and suggestions for future

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ness), determinants of innovativeness, and thus can serve as a policy setting aid. There is a need to identify composite indexes that reflect the level of innovativeness, and as well can be used to control the level of achievement of objectives related to technological progress. Such an index should be user friendly, universal, rooted in easily available (and quantifiable) data series, prone to be used as policy making guidance and comprehensive composite indexes of the level of innovativeness. A validation of such an index can be done through comparison of its rankings of countries to those produced by other composite indexes. To be noted, there is a host of indexes that pretend to ‘measure’ selected aspects of NIS, as well as a variety of composite indexes that measure/rank countries with respect to innovativeness levels (or can be considered as a proxy of innovativeness) [42, 1, 2, 34]. Table 1. Differences between ‘macro’ and ‘micro’ perspectives to innovativeness (source: [41, 44, 45])

MACRO PERSPECTIVE

MICRO PERSPECTIVE

inventions (exploration)

innovations (exploitation) [31]

composite indexes

fragmented questionnaire studies with little chance to find an unifying pattern

government, theory efficiency

SME, practice, effectiveness

correctness (political, legal)

profit, risk reduction, competitive position

laboratories, research centers

technology incubators, daily practice

grants, formal contracts

loans

Composite indexes of innovativeness and NIS subsystems

formal training programs

informal business meetings

Once semantic dilemmas associated with innovations are resolved, questions of measurement of NIS can be explored more in detail. Questions in this area deal with the identification of indicators that indeed are oriented on innovativeness (not necessarily inventive-

setting rules and standards

adopting to conditions

WHAT DO COMPANIES WANT?

WHAT CAN GOVERNMENTS OFFER?

Defining NIS As discussed in this paper, there seems to be no consensus among experts as to what exactly NIS means. Researchers should attempt to arrive at an acceptable definition of NIS that would allow the measurement of NIS related variables. Results of literature analysis related to innovations persistently suggest that even though discussion is about similar phenomena, there is a gap between assessment of innovativeness from the viewpoint of macro-economic indicators (as expressed, for example, by the European Innovation Scoreboard) [55], with perceptions of entrepreneurs that resort themselves to a micro-economic perspective [13]. Concerns related to the differences may be summarized as in Table 1.

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To be noted, however, definitions do not bring clarity, formalization, and later on measurement of aspects of these constructs is hard to accomplish, and concurrently, it is unpractical to the independent, isolated researcher to propose his own interpretations. It may be suggested to draw from the stock of existing knowledge, select one set of solutions, and then follow them consistently through the study. Efficiency Once means to quantify aspects of NIS are determined, concerns of the evaluation of efficiency can be addressed. Identification of efficiency of innovation policies used in different countries (here: efficiency of turning inputs into outputs) can be achieved, for example, using “Farrell Input-Saving Measure of Technical Efficiency” and the DEA method. Based on an assessment of efficiency, the key points for policies oriented on enhancing innovativeness can be established. These key points, along with the results of analysis of detailed innovation policies, may lead to the identification of “best practice frontier innovations” (BPFI) applicable to the specific context. Longitudinal studies Once the means to quantify aspects of NIS are determined, some stability while measuring innovativeness can be achieved. Then, longitudinal studies may be undertaken to cross-validate the assessment of accuracy of procedures and policies. It is important to remember, however, that some leading indexes of innovativeness change their selection of indicators. Thus, the research problem will also rest with the identification of results produced by adopted policies, irrespective of indicators used in the index. Certainly the problem of isolating results of these approaches from market forces, for example, will remain complex to be resolved. As well, it will be interesting to explain whether countries and companies are innovative because they are rich, or is it vice-versa, and countries and companies with wealth are, as a proverbial consequence, innovative?

The way R&D is allocated in different countries also sheds light on priorities of governments and may require different managerial approaches (note: the EIS, for example, takes an implicit assumption regarding uniformity of NIS policies). Future researchers of the topic should also look at emerging economic superpowers such as China and India - the concentration on diffusion of knowledge, instead of for knowledge creation, may be an idea to consider. Issues of NIS formalization (as presented in this paper) may serve as an outline for further studies, fragmented to distinct sub-systems and topics. However, exploration of these topics cumulatively may contribute to the clarification of issues if innovation principles, and the key role of NIS. 5

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Submission process. An article, prepared in MS Word, should be sent to Editor-in-Chief: prof. Tadeusz KRUPA, Faculty of Management, Warsaw University of Technology, ul. Narbutta 85, 02-524 Warszawa, Poland, e-mail: [email protected]. Review process. All manuscript are sent to two independent reviewers to ensure both accuracy and relevance to the journal. The final decision on acceptance will be made by the Editor-in-Chief.

Text. The manuscript must be produced clearly on plain A4-sized sheets - 210 by 297 mm. Set top and bottom margins for the pages at 25 mm. Set right and left margins as mirror margins with inside margin at 20 mm and outside margin at 16 mm. The body text must be printed in double columns with the middle margin of 8 mm. The body text is typed in 10,5pt Times New Roman with 1,15 multiple line spacing and 4pt spacing after paragraph. The title page should include the title of manuscript, author(s), affiliation(s), abstract (8-12 sentences) and key words (8-12 characteristic words).

References. References should be quoted in the text using consecutive numbers in square brackets, alternatively, as shown here [1, pp. 7-12], or [2,4], or [1-3]. At the end of the manuscript, they should be cited as follows: The monograph: Author(s) – Title of the monograph. Publishing company, City and the year of the publication. The example: [1] Poe V., Klauer P., Brobst S. - Building a Data Warehouse for Decisial Support. Prentice-Hall Inc., New York 1998. The monograph under the editing: Author(s) (ed.) - Title of the monograph. Publishing company, City and the year of the publication. The example: [2] Ansoff H. I. (ed.) - Corporate Strategy. McGraw-Hill, New York 1965. The chapter of the monograph under the editing: Author(s) – Title of the chapter [in] Title of the monograph (ed. Authors), Publishing company, City and the year of the publication, numbers of pages. The example: [3] Wilson, D.C. - Organizational Structures in the Voluntary Sector [in] Issues in Voluntary and Non Profit Management (ed. Batsleer J., Cornforth C., Paton R.), Addison-Wesley, Wokingham 1992, pp. 45-93.

The article in the journal: Author(s) – Title of the article [in] Title of the journal, Volume, Number, year, numbers of pages. The example: [4] Barney J. – Organizational culture: can it be a source of sustained competitive advantage? [in] Academy of Management Journal, Vol. 28, No. 7, 1986, pp. 56-65. The paper at the conference: Author(s) – Title of the paper [at] Title of the conference, City and the year of the conference, numbers of pages. The example: [5] Bonits N. - Intellectual Capital: An Exploratory Study that Develops Measures and Models [at] The First Management Decision Conference, London 1998, pp. 12-20.

Editorial Office: Teresa Ostrowska, email: [email protected] Katarzyna Rostek, email: [email protected]

Faculty of Management Warsaw University of Technology ul. Narbutta 85, 02-524 Warszawa, Poland

foundations of management

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